Lee R. Mcmillan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lee Richards Mcmillan, who also goes by Lee Richards Mcmillan III, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 2007. Lee had worked at 5 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2015 - April 5, 2018
CLARKSONS SECURITIES, INC
October 3, 2013 - October 1, 2015
D/B/A CLARKSONS PLATOU SECURITIES
December 14, 2011 - June 22, 2012
UBS SECURITIES LLC
October 6, 2010 - December 1, 2011
MADISON WILLIAMS AND COMPANY
June 8, 2007 - June 25, 2009
PRITCHARD CAPITAL PARTNERS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CLARKSONS SECURITIES, INC
CRD#: 30882 / SEC#: , 8-45221
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLARKSONS SECURITIES AS | SOLE SHAREHOLDER | |
| DEVRIES, TIMOTHY S | CO-CEO | 4852002 |
| FODSTAD, CHRISTIAN GJELSVIK | DIRECTOR | 7726256 |
| HELBERG, IVAN ERIK | DIRECTOR | 6447460 |
| HOY, SNORRE FAERDEN | DIRECTOR | 7726806 |
| IANNACI, SALVATORE ANTHONY | CO-CEO | 2778870 |
| MCDONAGH, BRIAN JOSEPH | CHIEF COMPLIANCE OFFICER | 2749774 |
| MCDONAGH, BRIAN JOSEPH | CFO/FINOP | 2749774 |
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.
