Individual Firm
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HAROLD DEAN MCMILLAN JR.
HAROLD DEAN MCMILLAN JR, HAROLD DEAN MCMILLAN, SKEETER MCMILLAN
CRD#: 1411258
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CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 CWM Retail, Sales
399 Post Rd West & 604 West
Westport, CT 06880
399 Post Rd West & 604 West
Westport, CT 06880
View By:
9/28/2017
Customer Dispute
Settled
State Registrations
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Arizona 11/17/2022
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Missouri 3/23/2015
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Arkansas 2/17/2022
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New Hampshire 1/13/2021
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California 10/17/2014
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New Jersey 10/17/2014
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Colorado 2/11/2015
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New York 9/30/2014
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Connecticut 9/30/2014
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North Carolina 8/19/2024
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Connecticut 9/30/2014
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Ohio 10/29/2021
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Florida 10/17/2014
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Pennsylvania 10/17/2014
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Illinois 10/17/2014
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South Carolina 5/6/2021
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Louisiana 1/6/2015
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Texas 10/17/2014
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Maryland 11/7/2024
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Virginia 5/2/2018
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Massachusetts 10/17/2014
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Washington 9/1/2017
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Michigan 2/17/2015
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Wyoming 10/17/2014
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Minnesota 10/17/2014
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 9/30/2014
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Registered with this firm since 9/30/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/21/2010 - 10/13/2014 | WESTPORT, CT | |
B | 11/10/2010 - 10/13/2014 | WESTPORT, CT | |
B | 08/28/1999 - 09/24/2002 | MONTEREY, MA | |
B | 07/29/1996 - 01/27/1997 | ST. PETERSBURG, FL | |
B | 04/04/1992 - 07/21/1994 | NEW YORK, NY | |
B | 04/23/1986 - 04/07/1992 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.