Christopher M. Mcmillan
Professional summary
Christopher Michael Mcmillan, who also goes by Chris Michael Mcmillan, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Omaha, Nebraska.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2003. Christopher has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Michael Mcmillan's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 1, 2025 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
December 9, 2022 - March 30, 2023
SECURITIES AMERICA, INC.
November 8, 2016 - December 31, 2020
SECURITIES AMERICA, INC.
August 18, 2016 - November 3, 2016
LPL FINANCIAL LLC
May 8, 2012 - May 31, 2016
AXOS CLEARING LLC
August 3, 2010 - May 16, 2012
LPL FINANCIAL LLC
January 28, 2009 - July 31, 2009
QUASAR DISTRIBUTORS, LLC
November 8, 2005 - February 9, 2007
RETIREMENT CAPITAL GROUP SECURITIES, INC.
December 2, 2003 - November 4, 2005
LPL FINANCIAL LLC
March 28, 2003 - July 22, 2003
TD AMERITRADE CLEARING, 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
(1/1/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
PRINCIPAL FUNDS DISTRIBUTOR, INC.
CRD#: 43261 / SEC#: , 8-50200
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | |
| BERG, JOHN THOMAS | DIRECTOR | 7973551 |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| HILL, TIMOTHY ALLEN | NATIONAL SALES MANAGER/DIRECTOR | 2317289 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| STOCKMAN, MICHELLE RENEE | CHIEF COMPLIANCE OFFICER | 5010490 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
Red Flags
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