Robert M. Mcclain
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Michael Mcclain, who also goes by Rob Mcclain, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2019 - January 16, 2026
REGAL SECURITIES, INC.
August 9, 2017 - December 31, 2017
CORECAP INVESTMENTS, LLC
November 24, 2014 - June 2, 2017
CORECAP INVESTMENTS, LLC
January 26, 2011 - January 31, 2013
MML INVESTORS SERVICES, LLC
August 24, 2006 - December 31, 2010
HAAS FINANCIAL PRODUCTS, INC.
June 5, 2003 - September 2, 2004
SECURIAN FINANCIAL SERVICES, INC.
November 9, 2002 - May 17, 2003
HAAS FINANCIAL PRODUCTS, INC.
January 4, 2002 - November 13, 2002
MML INVESTORS SERVICES, LLC
March 16, 2000 - December 31, 2001
HAAS FINANCIAL PRODUCTS, INC.
July 31, 1999 - March 8, 2000
WMA SECURITIES, INC.
April 26, 1996 - June 25, 1999
WMA SECURITIES, INC.
May 20, 1994 - January 29, 1996
SENTRA SECURITIES CORPORATION
October 22, 1993 - May 25, 1994
SIGNATOR INVESTORS, INC.
July 23, 1990 - February 11, 1993
SIGNATOR INVESTORS, INC.
July 23, 1990 - May 25, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 23, 1988 - July 6, 1990
MUTUAL SERVICE CORPORATION
November 7, 1988 - September 12, 1989
G. R. PHELPS & CO., INC.
June 25, 1986 - December 5, 1988
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 19, 1986 - June 27, 1986
AMERITAS INVESTMENT COMPANY, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
