TrueAdvisor
TrueAdvisor
HM
HM

Harold Mcmillan

Citigroup Global Markets INC.
27 Years of Experience
Westport, CT
1 DisclosureBroker
View SEC Summary
View SEC Summary

Harold Mcmillan is a registered investment advisor at Citigroup Global Markets INC., based in Westport, CT, with 27 years of industry experience. Harold is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 59,829 clients with $56B in assets under management.

Citigroup Global Markets INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2402 advisors
IM Fee
Planning only
Assets Under Management
$56.0B

Fee Structure

Citigroup Global Markets provides a comprehensive written financial plan at no direct fee to eligible clients of Citi Private Bank and Citi Global Wealth at Work. The service includes developing a financial profile, analyzing current financial position, and providing recommendations for education, retirement, estate planning, and other long-term goals.

One-Time Plan:$0
View Full SEC Brochure

Location

CWM Retail, Sales, 399 Post Rd West & 604 West, Westport, CT, 06880

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2017
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Harold is the owner of Housatonic River Outfitters in Cornwall Bridge, CT, since 1996. While employees manage the store during trading hours, Harold spends a few hours per week on the business outside of those hours.

Employment History
Current Registrations
Citigroup Global Markets INC.
September 2014 - Present · 12 yrs 1 mo
Citigroup Global Markets INC.
September 2014 - Present · 12 yrs 1 mo
Citigroup Global Markets INC.Broker
September 2014 - Present · 12 yrs 1 mo
Previous Registrations
Morgan Stanley
December 2010 - October 2014 · 3 yrs 10 mos
Morgan StanleyBroker
November 2010 - October 2014 · 3 yrs 11 mos
Nolan Securities CORP.Broker
August 1999 - September 2002 · 3 yrs 1 mo
Robert Thomas Securities, INCBroker
July 1996 - January 1997 · 6 mos
Kidder, Peabody & CO. IncorporatedBroker
April 1992 - July 1994 · 2 yrs 3 mos
Oppenheimer & CO., INC.Broker
April 1986 - April 1992 · 6 yrs
State Registrations24 states
ARAZCACOCTFLILLAMAMDMIMNMONCNHNJNYOHPASCTXVAWAWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Westport, CT →All financial advisors in Connecticut →