BM
Brock M. Mcmillan
ERNST & YOUNG CORPORATE FINANCE (CANADA)
Calgary, Alberta, T2P 1M4
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CRD#: 5189976
BM
Professional summary
Brock Murray Mcmillan, who also goes by Brock Mcmillan, is a registered financial professional currently at ERNST & YOUNG CORPORATE FINANCE (CANADA) 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brock Mcmillan
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.
CRS (Client Relationship Summary) - BD
Click below to view Brock Murray Mcmillan's 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®
NoneExperience
Current
February 8, 2012 - Present
ERNST & YOUNG CORPORATE FINANCE (CANADA) INC.
Office #1: Calgary City Centre 2200 - 215 2nd Street Sw, Calgary, Alberta, T2P 1M4BD
CRD#: 126914
Calgary, Alberta,
Past
July 18, 2011 - January 27, 2012
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
November 27, 2006 - June 13, 2011
ERNST & YOUNG CORPORATE FINANCE (CANADA) INC.
BD
CRD#: 126914
CALGARY, ALBERTA,
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(8/28/2024)
RR
Alaska(8/28/2024)
RR
Arizona(8/28/2024)
RR
Arkansas(8/28/2024)
RR
California(8/22/2012)
RR
Colorado(8/22/2012)
RR
Connecticut(10/31/2012)
RR
Delaware(8/28/2024)
RR
District of Columbia(8/28/2024)
RR
Florida(5/29/2012)
RR
Georgia(11/23/2020)
RR
Idaho(8/28/2024)
RR
Illinois(5/29/2012)
RR
Indiana(2/28/2017)
RR
Iowa(8/28/2024)
RR
Kansas(7/5/2024)
RR
Kentucky(8/28/2024)
RR
Louisiana(1/11/2016)
RR
Maine(8/28/2024)
RR
Maryland(7/5/2024)
RR
Massachusetts(8/22/2012)
RR
Michigan(8/28/2024)
RR
Minnesota(10/18/2013)
RR
Mississippi(8/28/2024)
RR
Missouri(11/16/2020)
RR
Montana(3/2/2017)
RR
Nebraska(8/28/2024)
RR
Nevada(8/28/2024)
RR
New Hampshire(8/28/2024)
RR
New Jersey(5/29/2012)
RR
New Mexico(8/28/2024)
RR
New York(10/31/2012)
RR
North Carolina(7/5/2024)
RR
North Dakota(8/28/2024)
RR
Ohio(5/30/2012)
RR
Oklahoma(7/25/2016)
RR
Oregon(8/28/2024)
RR
Pennsylvania(6/7/2012)
RR
Puerto Rico(8/28/2024)
RR
Rhode Island(7/5/2024)
RR
South Carolina(8/28/2024)
RR
South Dakota(8/28/2024)
RR
Tennessee(7/5/2024)
RR
Texas(3/22/2012)
RR
Utah(8/28/2024)
RR
Vermont(8/28/2024)
RR
Virginia(5/1/2020)
RR
Washington(11/21/2013)
RR
West Virginia(8/28/2024)
RR
Wisconsin(8/28/2024)
RR
Wyoming(8/28/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
E&
ERNST & YOUNG CORPORATE FINANCE (CANADA) INC.
ERNST & YOUNG CORPORATE FINANCE (CANADA) INC. | EY CORPORATE FINANCE (CANADA)
CRD#: 126914 / SEC#: , 8-65929
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
100 Adelaide Street West, Ey Tower, Toronto, Ontario, M5H 0B3
Mailing Address
100 Adelaide Street West, Ey Tower Po Box 1, Toronto, Ontario, M5H 0B3
Phone number
(416) 943-3101
Established
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ERNST & YOUNG CORPORATE FINANCE (CANADA) INC.
CRD#: 126914Calgary, Alberta, T2P 1M4TRUST BUT VERIFY
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