Katie E. Mcmillan

VALIC FINANCIAL ADVISORS

Durham, NC 27707

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CRD#: 5199909

Professional summary

Katie Elizabeth Mcmillan, who also goes by Katie E Iwanowski, Katie Elizabeth Iwanowski, Katie Iwanowski, Katie E Mcmillan, Katie Mcmillan, Katie Elizabeth Mcmillan, is a registered financial professional currently at VALIC FINANCIAL ADVISORS, INC. located in Durham, North Carolina.

Katie is registered as a RR (Registered Representative) and started their career in finance in 2007. Katie has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Katie Elizabeth 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

October 16, 2019 - Present

VALIC FINANCIAL ADVISORS, INC.

Office #1: 3211 Shannon Road Suite 600, Durham, NC 27707

RIA

CRD#: 42803

Durham, NC

Past

October 26, 2018 - August 23, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

PORTAGE, MI

Past

July 19, 2016 - November 30, 2017

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

DURHAM, NC

Past

May 15, 2015 - February 23, 2016

LPL FINANCIAL LLC

CRD#: 6413

RALEIGH, NC

Past

September 29, 2010 - February 24, 2015

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

WEXFORD, PA

Past

August 13, 2009 - September 10, 2010

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

SEWICKLEY, PA

Past

December 10, 2007 - August 12, 2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

PITTSBURGH, PA

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".

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803 / SEC#: 801-54952, 8-50018

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

State Registrations and Notice Filings

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

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

North Carolina
(10/16/2019)

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.

Exams

State Security Law Exam

Series 63

Date: 4/27/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/8/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803 / SEC#: 801-54952, 8-50018

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

2919 Allen Parkway L3-20, Houston, TX 77019

Mailing Address

2919 Allen Parkway L3-20, Houston, TX 77019-2158

Phone number

(866) 544-4968

Established

Texas since 11/18/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

1,633

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE FOR THE GUIDED PORTFOLIO SERVICES PROGRAM- VC23988 (9/8/2025)

MIP UNIFIED MANAGED ACCOUNT PROGRAM (3/28/2025)

FINANCIAL PLANNING & CONSULTING SERVICES BROCHURE (3/28/2025)

WRAP FEE PROGRAM BROCHURE FOR VFA MANAGED INVESTMENT PROGRAM - VC23987 (3/28/2025)

WRAP FEE PROGRAM BROCHURE FOR THE GUIDED PORTFOLIO ADVANTAGE PROGRAM - VC38857 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
THE VARIABLE ANNUITY LIFE INSURANCE COMPANY	DIRECT OWNER
BURNETTE, CYNTHIA LEA	CHIEF FINANCIAL OFFICER AND TREASURER	1863103
FORTEY, MICHAEL	VFA CHIEF COMPLIANCE OFFICER BROKER DEALER	2304969
GIBSON, KRISTA DE LOIS	PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES	2348708
JOE, CHRISTOPHER CHUCK	VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR	2373056
LOGAN, JOHN ALBERT	CHIEF OPERATIONS OFFICER	4378887
MARCIEL-CARR, THERESA H	VICE PRESIDENT, FIELD SUPERVISION	5428259
NORRIS, JOHN ERIK	SECRETARY	8188573
RINK, VERONICA LYNETTE	VICE PRESIDENT, BUSINESS ADMINISTRATION	4724432

Regulatory assets under management

Total Number of Accounts	293,993
AUM (Assets Under Management)	$ 26,372,603,709

Disclosures

Regulatory Event	17
Arbitration	3

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2025	Cover Page	Report
01/27/2025	Cover Page	Report
04/29/2024	Cover Page	Report
04/28/2023	Cover Page	Report

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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Katie E. Mcmillan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Katie Elizabeth Mcmillan's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

VALIC FINANCIAL ADVISORS, INC.

LPL FINANCIAL LLC

PURSHE KAPLAN STERLING INVESTMENTS

COMMONWEALTH FINANCIAL NETWORK

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

VALIC FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/27/2009

SIE

Date: 11/30/2017

Series 7

Date: 12/8/2007

FINRA

Current Firm

VALIC FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

VALIC FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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