CHRISTOPHER MCMILLAN

ad0uap@r.postjobfree.com

Omaha, NE 68106

PROFESSIONAL EXPERIENCE

Achievements:

*Filed and Registered three separate SEC Registered Investment Advisors

*Represented Registered Investment Advisor rms in ve separate SEC exams

*Achieved GIPS veri cation for model portfolio performance 2021 through 2023.

*Wrote all rm GIPS policies and procedures.

*Drafted and maintained rm compliance manuals, contracts, and all investment

advisory documents.

*Oversaw all corporate governance documents and SEC lings for three Registered

Investment Advisors.

*Established and oversaw multiple corporate committees, including Third Party

Vendor and New Investment Product Due Diligence

WealthPlan Partners/WealthPlan Investment Management

4/2016 to 4/2023

General Counsel and Chief Compliance Of cer (CCO) - Omaha, NE

• Implementation and management of the compliance program for the company’s two

SEC Registered Investment Advisors (WealthPlan Investment Management and

WealthPlan Partners).

• Branch Audits for compliance with FINRA and SEC compliance standards.

• Annual review and maintenance of the compliance program under SEC Rule 206

(4)-7.

• Annual full branch examinations for review and improvement of compliance

program.

• Quarterly review and maintenance of the rm’s Best Execution Program.

• Representation of the company’s Registered Investment Advisors for three SEC

exams

• Negotiation and drafting of corporate and vendor contracts

• Drafting of legal advisory documents and contracts, such as client investment

advisor discretionary agreements, branch manager agreements, and nancial advisor

independent contractor agreements, retirement planning agreements (including

ERISA-related matters such as 3(21) and 3(38) agreements), employment agreements,

non-disclosure agreements, privacy policies, promissory notes, service and purchase

agreements (among many others).

• Oversight of outside counsel.

• Investment product due diligence.

• Advertising compliance review for all materials

• Complaint negotiation and arbitration

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• Filing and creation of SEC-registered investment advisor, including the

• Oversight of FINRA 1017 process, including transfer and transition of all assets

• All company SEC lings, including the annual update of form ADV, quarterly 13f,

and many others.

• Continuing education on legal and compliance

• GIPS veri cation.

• Drafting of all rm GIPS policies and procedures.

• FINRA and SEC IARD and CRD lings

• Email supervision and communication review oversight.

• Corporate secretary for board of directors.

COR Clearing LLC

Deputy General Counsel - Omaha, NE 5/2012 to 4/2016

• Responsible for all non-litigation related legal duties including drafting, review and

negotiation of all contracts. Notably, the following:

o Fully Disclosed and Omnibus Clearing Agreement

o International Clearing Agreements

o Alternative Clearing Agreements

o Foreign Financial Intermediary Agreements

o Selling Agreements

o Vendor Product and Service Agreements

o IRA and Custodial Agreements

o Corporate Contracts

o Letters of Indemnity

o Promissory Notes

o Negative Consent Letters

o Update, Edit or Create Broker Dealer Forms, Disclosure Documents and

Required Documentation.

o Bank Agreements

o Commercial Of ce Lease Negotiations and Revisions

o Broker Dealer mergers and transfers of business to other Broker Dealer or

holding company.

• Corporate Secretary for Board of Directors

• Draft and Review Work Supervisory Procedures

• Address and manage Correspondent Broker Dealer contractual and general legal

issues

• General Privacy Related Issues as former Privacy Of cer

• Subpoenas

• FINRA/SEC regulatory inquiries

• General nancial services legal and regulatory matters

CARSON WEALTH MANAGEMENT GROUP and CWM, LLC

Chief Compliance Of cer - Omaha, NE 6/2010 to 5/2012

• Registered and created CWM LLC, a Registered Investment Advisor

• Branch Manager for Carson Wealth Management Group

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• Oversight of the compliance programs for Carson Wealth Management Group and

CWM LLC

• Oversight for compliance with Investment Advisers Act of 1940 and FINRA

regulations

• Creation and implementation of compliance policies and procedures

• IARD and CRD ling

• Registration oversight

• Continuing education oversight including annual meetings

• Annual review

• Anti-Money Laundering

• Best Execution oversight

• Advertising and Sales Literature Review

• Compliance oversight for portfolio management and wealth planning

• Oversight of trading and research compliance

• All required ADV lings

• All required lings and responsibilities for management and maintenance of a SEC

Registered Investment Advisor

EDUCATION

Creighton University School of Law, Juris Doctor

Creighton University Bachelor of Arts, Philosophy

CERTIFICATIONS & LICENSES FINRA Series 7, 24, and 63; District of Columbia Bar

Association

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