Michael R. 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.
Michael Richard Mcclain was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 6 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2015 - October 17, 2016
1900 WEALTH
July 31, 2003 - June 30, 2006
USAA INVESTMENT SERVICES COMPANY
July 31, 2003 - June 30, 2006
USAA INVESTMENT SERVICES COMPANY
June 29, 1999 - October 31, 2002
FIDELITY BROKERAGE SERVICES LLC
November 28, 1997 - June 24, 1999
CITICORP INVESTMENT SERVICES
July 17, 1989 - November 25, 1997
FIDELITY BROKERAGE SERVICES LLC
June 11, 1986 - June 2, 1989
ROTAN MOSLE INC.
July 21, 1983 - June 20, 1986
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
1900 WEALTH
CRD#: 175346 / SEC#: 801-105469
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
Series 5
Date: 1/10/1985
Interest Rate Options ExaminationSeries 8
Date: 6/29/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
1900 WEALTH
CRD#: 175346 / SEC#: 801-105469
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 911 |
| AUM (Assets Under Management) | $ 2,268,162,325 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/05/2025 | ||
| 10/04/2024 | ||
| 10/13/2023 |
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.
