CHRISTOPHER MCMILLAN

ad4c7w@r.postjobfree.com

Omaha, NE 68106

EDUCATION and LICENSES

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

PROFESSIONAL EXPERIENCE

Achievements:

*Oversaw successful SEC registration of three Registered Investment Advisors as well as the transition of all legal and compliance policies, procedures, and client notice and account transfer process.

*Represented Registered Investment Advisor firms in five separate SEC exams

*Working with CIO, guided the firm to GIPS verification for model portfolios

*Wrote the firm’s GIPS policies and procedures manual

*Drafted and maintained firm compliance manuals, contracts, and all investment advisory documents.

*Oversaw all corporate governance documents and SEC filings for three Registered Investment Advisors.

*Creation and oversight for corporate committees, including Third Party Vendor and Product Due Diligence Committees for decisions involving admittance of new investment products

FORTY ACT REVIEWS,

Regulatory Compliance and Legal Consultant - Omaha, NE 5/2023 to Present

• Assist with Investment advisory and broker dealer or general legal regulatory inquiries from Compliance Officers and firm personnel looking to address these problems.

• Branch audits

• Broker Dealer and Investment Advisor registrations

• Advertising and sales literature reviews. I am responsible for reviewing advertising or marketing materials that fall under the regulatory purview of 2211 or the 1940 Adviser’s Act.

• WSP drafting

WEALTHPLAN PARTNERS & WEALTHPLAN INVESTMENT MANAGEMENT General Counsel and Chief Compliance Officer (CCO) - Omaha, NE 4/2016 to 4/2023

• 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 firm’s Best Execution Program.

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

• ERISA Responsibilities: 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 financial 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

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

o Bank Agreements

o Commercial Office Lease Negotiations and Revisions o Broker Dealer mergers and transfers of business to BD

• Draft and Review Work Supervisory Procedures

• Address and manage Correspondent Broker Dealer contractual and general legal issues

• General Privacy Related Issues as former Privacy Officer

• Subpoenas

• FINRA/SEC regulatory inquiries

• General financial services legal and regulatory matters CARSON WEALTH MANAGEMENT GROUP and CWM, LLC

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

• Registered and created CWM LLC, a Registered Investment Advisor

• Branch Manager for Carson Wealth Management Group

• 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 filing

• 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 filings

• All required filings and responsibilities for management and maintenance of a SEC Registered Investment Advisor

AL FRANK ASSET MANAGEMENT

Compliance Manager - Laguna Beach, CA 9/08-9/09

• Managed the compliance program for asset management and mutual fund services

• Advertising and sales literature review

• Managed compliance program for two registered mutual funds under 1940 Investment Company Act

• SEC filings

• IA and BD annual review and continuing education

• General mutual fund 1940 Investment Company Act compliance responsibilities

• Axys and Advent experience.

• General investment advisory compliance responsibilities for maintenance and management of a SEC Registered Investment Advisor

BISYS REGULATORY SERVICES

Financial Regulatory Services (FRS)/Citi - San Diego, CA Regulatory Compliance Consultant 2/07-7/08

• Investment advisory and broker dealer regulatory inquiries for various firms

• Branch audits

• Broker Dealer and Investment Advisor registrations

• Advertising and sales literature reviews

• WSP drafting

• Anti-Money Laundering and continuing education consulting

• Regulatory liaison for compliance departments to provide effective representation to applicable regulators

RETIREMENT CAPITAL GROUP SECURITIES, INC. - San Diego, CA Chief Compliance Officer/General Counsel 11/05-2/07

• General ERISA compliance and legal

• General BD and IA compliance program oversight

• All firm form ADV filings on rolling and annual basis

• Work supervisory procedure drafting and updating for regulatory and company procedural changes

• Registration and continuing education including annual meeting requirements

• CRD maintenance

• AML Officer including all SAR filings and OFAC responsibilities

• Contract drafting and negotiation

• Advertising and sales literature review

• Corporate Secretary

LPL FINANCIAL - San Diego, CA

Advertising Compliance Principal 11/03-11/05

• Review advertising and communication materials for consistency with applicable FINRA and SEC regulations.

• Continuing education for registered representatives.

• Registered Principal with supervisory responsibility over advertising and sales literature of 800-1000 registered representatives.

• Responsible for FINRA regulatory filing for sales literature and advertising materials. Types of advertising materials included all print advertising and sales literature, including various registered and non-registered products (for general regulatory consistency as well as performance guidelines), web sites, radio and television broadcasts, vendor and third party generated materials as well as corporate materials, books, articles and other publications.

• Additional duties include registered representative counseling and training on compliance issues primarily related to advertising compliance concerns as well as general compliance issues.

• Featured presenter for the marketing and advertising section of the 2005 LPL National Conference.

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