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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

KEVIN FINDLEY MCMILLAN

Advisor at SPECTRUM FINANCIAL RESOURCES

Grosse Pointe Farms, MI

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Search this name across graphsid dfx:ria:1cd0d3ae-1ea5-e547-bd09-e17555c361c2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 29, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SPECTRUM FINANCIAL RESOURCES
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 18, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jun 18, 1999
First registration: Jan 29, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 3220748

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SPECTRUM FINANCIAL RESOURCES	Independent wealth	Jun 1, 2020	n/a	yes	Grosse Pointe Farms, MI	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Apr 14, 2020	no	GROSSE POINTE FARMS, MI	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 25, 2006	Oct 1, 2012	no	GROSSE POINTE FARMS, MI	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Jan 29, 2002	Mar 11, 2003	no	BLOOMFIELD HILLS, MI\|BLOOMFIELD HILLS, MI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	SPECTRUM FINANCIAL RESOURCES	Apr 14, 2020	Jun 1, 2020	48	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
A. G. EDWARDS & SONS, INC.	CHASE INVESTMENT SERVICES CORP.	Mar 11, 2003	May 25, 2006	1,171	Firm change after gap	Other

Relationships

Registered with (4)

→ SPECTRUM FINANCIAL RESOURCESRegistered adviserregistration: current employment
Jun 1, 2020 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Apr 14, 2020factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 25, 2006 to Oct 1, 2012factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Jan 29, 2002 to Mar 11, 2003factForm ADV

Dated events

No dated event names this entity yet.