Ian T. Mcmillan

CLIENT FIRST INVESTMENT MANAGEMENT LLC

Charlotte, NC 28278

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CRD#: 5923287

Professional summary

Ian Thomas Mcmillan, who also goes by Ian Thomas Mcmillian, is a registered financial advisor currently at CLIENT FIRST INVESTMENT MANAGEMENT LLC located in Charlotte, North Carolina.

Ian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Ian has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ian Thomas Mcmillian

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) - RIA

Click below to view Ian Thomas 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

March 11, 2022 - Present

CLIENT FIRST INVESTMENT MANAGEMENT LLC

Office #1: 10321 Solar Way, Charlotte, NC 28278

RIA

CRD#: 282600

Charlotte, NC

Past

January 3, 2020 - December 18, 2021

CLIENT FIRST INVESTMENT MANAGEMENT LLC

RIA

CRD#: 282600

STERLING, VA

Past

November 27, 2018 - January 30, 2019

SHERMAN WEALTH MANAGEMENT LLC

RIA

CRD#: 281093

GAITHERSBURG, MD

Past

March 6, 2017 - November 28, 2018

FSA WEALTH PARTNERS

RIA

CRD#: 104513

ROCKVILLE, MD

Past

November 4, 2014 - November 28, 2016

LPL FINANCIAL LLC

CRD#: 6413

ALEXANDRIA, VA

Past

August 5, 2014 - November 28, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

ALEXANDRIA, VA

Past

June 17, 2013 - January 10, 2014

OMEGA WEALTH MANAGEMENT LLC

RIA

CRD#: 132580

ARLINGTON, VA

Past

August 8, 2012 - August 28, 2012

TAVERIK CAPITAL, LLC

RIA

CRD#: 156594

SIMPSONVILLE, SC

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".

CLIENT FIRST INVESTMENT MANAGEMENT LLC

CRD#: 282600 / SEC#: 801-123113

RIA

Registered Investment Advisory firm - (1/21/2022 Approved)

Florida

Registered Investment Advisory firm - (1/27/2022 Terminated)

Texas

Registered Investment Advisory firm - (1/27/2022 Terminated)

Virginia

Registered Investment Advisory firm - (12/18/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/28/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(3/11/2022)

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: 12/22/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/7/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 11/28/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/4/2014

General Securities Representative Examination

Current Firm

CLIENT FIRST INVESTMENT MANAGEMENT LLC

CRD#: 282600 / SEC#: 801-123113

RIA

Registered Investment Advisory firm - (1/21/2022 Approved)

Florida

Registered Investment Advisory firm - (1/27/2022 Terminated)

Texas

Registered Investment Advisory firm - (1/27/2022 Terminated)

Virginia

Registered Investment Advisory firm - (12/18/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/28/2022 Terminated)

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Contact information

Main Address

215 N. Main Street Suite 1040, West Bend, WI 53095

Mailing Address

Phone number

(262) 335-1700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLIENT FIRST INVESTMENT MANAGEMENT LLC DISCLOSURE BROCHURE (3/7/2025)

CLIENT FIRST INVESTMENT MANAGEMENT LLC WRAP FEE BROCHURE (3/7/2025)

Regulatory assets under management

Total Number of Accounts	1,391
AUM (Assets Under Management)	$ 184,382,938

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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Firm Stability Insights

Ian T. Mcmillan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ian Thomas Mcmillan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLIENT FIRST INVESTMENT MANAGEMENT LLC

SHERMAN WEALTH MANAGEMENT LLC

FSA WEALTH PARTNERS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OMEGA WEALTH MANAGEMENT LLC

TAVERIK CAPITAL, LLC

Primary Firm SEC Registration

CLIENT FIRST INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/22/2014

Series 65

Date: 8/7/2012

SIE

Date: 11/28/2016

Series 7

Date: 11/4/2014

Current Firm

CLIENT FIRST INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLIENT FIRST INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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