Brock Murray Mcmillan
Professional Summary
Brock Murray Mcmillan, who also goes by Brock Mcmillan, is a registered financial advisor currently at EY-PARTHENON BD INC.. Brock is registered as a RR (Registered Representative) and started their career in finance in 2006. Brock has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Brock Mcmillan
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
ERNST & YOUNG CORPORATE FINANCE (CANADA) INC. | EY-PARTHENON BD INC. | EY CORPORATE FINANCE (CANADA)
Contact Information
Main Address
100 Adelaide Street West, Ey Tower, Toronto, Ontario, M5H 0B3Mailing Address
100 Adelaide Street West, Ey Tower Po Box 1, Toronto, Ontario, M5H 0B3Phone Number
(416) 943-3101Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EY ADVISORY SERVICES INC. | PARENT | — |
| DUNN, KEVIN SHANE | DIRECTOR | 5464609 |
| HUTCHINSON, CHRISTOPHER BRIAN | FINANCIAL AND OPERATIONS PRINCIPAL | 6010273 |
| IANNI, ANTHONY | DIRECTOR/CHAIRMAN | 4727825 |
| MCMILLAN, BROCK MURRAY | PRESIDENT | 5189976 |
| ROY, SHARA NICOLE | OFFICER (SECRETARY) | 7621988 |
| SAVAGE, DOUGLAS ROBERT | CHIEF COMPLIANCE OFFICER | 6526291 |
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(8/28/2024)
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(8/22/2012)
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(10/31/2012)
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(5/29/2012)
(11/23/2020)
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(2/28/2017)
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(1/11/2016)
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(7/5/2024)
(8/22/2012)
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(10/18/2013)
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(11/16/2020)
(3/2/2017)
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(5/29/2012)
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(10/31/2012)
(7/5/2024)
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(5/30/2012)
(7/25/2016)
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(6/7/2012)
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(3/22/2012)
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(5/1/2020)
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Brock Murray Mcmillan's CRS (Customer Relationship Summary).
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