Kevin F. Mcmillan

SPECTRUM FINANCIAL RESOURCES

Grosse Pointe Farms, MI 48236

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CRD#: 3220748

Professional summary

Kevin Findley Mcmillan is a registered financial advisor currently at SPECTRUM FINANCIAL RESOURCES located in Grosse Pointe Farms, Michigan and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Gross Pointe Farms, Michigan.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kevin has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) KEVIN FINDLEY MCMILLAN - Agent - Non-Variable Insurance - Grosse Pointe MI - Since 6/2020 - INVESTMENT RELATED 2) SPECTRUM FINANCIAL RESOURCES LLC - Investment Advisor Representative - Registered Investment Advisor - Grosse Pointe Farms MI - Since 6/2020 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Findley Mcmillan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 1, 2020 - Present

SPECTRUM FINANCIAL RESOURCES

Office #1: 63 Kercheval Ave Suite 215, Grosse Pointe Farms, MI 48236

RIA

CRD#: 127453

Grosse Pointe Farms, MI

Current

May 26, 2020 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 63 Kercheval Suite 222, Gross Pointe Farms, MI 48236

RIA

CRD#: 20804

GROSS POINTE FARMS, MI

Past

October 1, 2012 - April 14, 2020

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

GROSSE POINTE FARMS, MI

Past

October 1, 2012 - April 14, 2020

J.P. MORGAN SECURITIES LLC

CRD#: 79

GROSSE POINTE FARMS, MI

Past

May 25, 2006 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

GROSSE POINTE FARMS, MI

Past

May 25, 2006 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

GROSSE POINTE FARMS, MI

Past

January 29, 2002 - March 11, 2003

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

BLOOMFIELD HILLS, MI

Past

November 23, 2001 - May 30, 2006

A. G. EDWARDS & SONS, INC.

CRD#: 4

BLOOMFIELD HILLS, MI

Past

July 29, 1999 - November 26, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SPECTRUM FINANCIAL RESOURCES

SPECTRUM FINANCIAL RESOURCE, LLC | SPECTRUM FINANCIAL RESOURCES, LLC | SPECTRUM FINANCIAL RESOURCES

CRD#: 127453 / SEC#: 801-126271

RIA

Registered Investment Advisory firm - (8/23/2022 Approved)

Michigan

Registered Investment Advisory firm - (9/7/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/26/2020)

Colorado
(5/26/2020)

Florida
(5/26/2020)

Illinois
(2/2/2024)

Michigan
(5/26/2020)

IAR

Michigan
(6/1/2020)

New Jersey
(12/4/2020)

New York
(5/26/2020)

Ohio
(5/27/2020)

Texas
(5/26/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/1/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SPECTRUM FINANCIAL RESOURCES

SPECTRUM FINANCIAL RESOURCE, LLC | SPECTRUM FINANCIAL RESOURCES, LLC | SPECTRUM FINANCIAL RESOURCES

CRD#: 127453 / SEC#: 801-126271

RIA

Registered Investment Advisory firm - (8/23/2022 Approved)

Michigan

Registered Investment Advisory firm - (9/7/2022 Terminated)

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Contact information

Main Address

1661 W. Big Beaver, Troy, MI 48084

Mailing Address

Phone number

(248) 643-0033

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/21/2025)

Regulatory assets under management

Total Number of Accounts	1,188
AUM (Assets Under Management)	$ 206,606,422

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Kevin F. Mcmillan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Findley Mcmillan's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

SPECTRUM FINANCIAL RESOURCES

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/1999

Series 63

Date: 6/18/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/15/1999

FINRA

Current Firm

SPECTRUM FINANCIAL RESOURCES

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPECTRUM FINANCIAL RESOURCES

TRUST BUT VERIFY

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