Sue J. Mcmillan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sue Jones Mcmillan, who also goes by Sue Bearden, Sue Jones, Shirley Sue Mcmillan, Sue Mcmillan, was a registered financial professional .
Sue is a previously registered financial professional and started their career in finance in 1997. Sue had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2024 - September 9, 2024
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
September 28, 2012 - June 28, 2024
T.S. PHILLIPS INVESTMENTS, INC.
October 30, 2009 - October 8, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 9, 2002 - October 30, 2009
PARKLAND SECURITIES, LLC
August 16, 2001 - February 9, 2002
WALNUT STREET SECURITIES, INC.
June 5, 1997 - August 14, 2001
ONEAMERICA SECURITIES, INC.
June 5, 1997 - August 14, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
January 21, 1997 - May 23, 1997
METROPOLITAN LIFE INSURANCE COMPANY
January 21, 1997 - May 23, 1997
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
CRD#: 8478 / SEC#: 801-63564, 8-25452
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SERVICES HOLDINGS, LLC | SOLE SHAREHOLDER | |
| COKER, KAREN LE'ELLEN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PARKER, RICHARD WILSON | CEO | 5497397 |
| REYNOLDS, MATTHEW MARK | PRESIDENT / FINOP / PFO / POO/CCO | 4077413 |
| RUDNICK, REGINA MARY | HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
| TITAK, JAMES JOHN | CHAIRMAN OF THE BOARD | 1008441 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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