Joshua J. Mcmillan

SYMPHONY FINANCIAL, LTD. CO.

Houston, TX 77027

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CRD#: 7118277

Professional summary

Joshua James Mcmillan is a registered financial advisor currently at SYMPHONY FINANCIAL, LTD. CO. located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Joshua has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Joshua James 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

January 11, 2023 - Present

SYMPHONY FINANCIAL, LTD. CO.

Office #1: 4295 San Felipe Suite 300, Houston, TX 77027

RIA

CRD#: 171816

Houston, TX

Current

January 4, 2023 - Present

LPL FINANCIAL LLC

Office #1: 4295 San Felipe Street Ste 300, Houston, TX 77027

RIA

CRD#: 6413

Houston, TX

Past

January 17, 2020 - January 20, 2023

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

HOUSTON, TX

Past

June 17, 2019 - January 20, 2023

EQUITABLE ADVISORS, LLC

CRD#: 6627

HOUSTON, TX

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".

SYMPHONY FINANCIAL, LTD. CO.

CRD#: 171816 / SEC#: 801-79989

RIA

Registered Investment Advisory firm - (6/30/2014 Approved)

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.

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

Louisiana
(1/4/2023)

Tennessee
(8/16/2024)

Texas
(1/4/2023)

IAR

Texas
(1/11/2023)

Virginia
(1/25/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/30/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/17/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/8/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

SYMPHONY FINANCIAL, LTD. CO.

CRD#: 171816 / SEC#: 801-79989

RIA

Registered Investment Advisory firm - (6/30/2014 Approved)

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Contact information

Main Address

4295 San Felipe Suite 300, Houston, TX 77027

Mailing Address

Phone number

(281) 272-6800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/27/2025)

ADV PART 2 WRAP BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3,324
AUM (Assets Under Management)	$ 1,093,185,695

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

Joshua J. Mcmillan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua James Mcmillan's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

SYMPHONY FINANCIAL, LTD. CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/30/2019

Series 7TO

Date: 6/17/2019

SIE

Date: 5/8/2019

FINRA

Current Firm

SYMPHONY FINANCIAL, LTD. CO.

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SYMPHONY FINANCIAL, LTD. CO.

TRUST BUT VERIFY

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