Chris McMillan is a seasoned attorney and compliance professional with extensive experience in the financial services industry. A graduate of Creighton University in Omaha, NE, where he earned both his undergraduate and law degrees, Chris has built a career specializing in regulatory compliance, legal counsel, and operational leadership for investment firms. He has served in key roles, including Chief Compliance Officer at Carson Wealth Management and General Counsel at WealthPlan Partners, where he guided firms through SEC registration, compliance infrastructure development, and GIPS (Global Investment Performance Standards) verification.
Licensed to practice law in the District of Columbia and holding Series 7, 24, and 63 licenses, Chris has worked with a wide array of financial entities, including RIAs, broker-dealers, mutual funds, hedge funds, and ERISA service providers. His tenure includes impactful roles at Retirement Capital Group, COR Clearing, and BISYS, where he excelled in drafting agreements, negotiating contracts, and ensuring regulatory alignment for complex financial organizations.
With a proven ability to navigate the intricate regulatory landscape, Chris combines legal expertise with strategic insight to help firms achieve operational excellence and maintain compliance in a dynamic industry.
