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RE

Richard D. Early

EARLY MCCLINTIC & MCMILLAN
Stafford, TX 77477
Some features on this profile are disabled
CRD#: 1324477
RE

Professional summary

Richard Dean Early is a registered financial advisor currently at EARLY MCCLINTIC & MCMILLAN, LLC located in Stafford, Texas.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Richard has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Licensed to sell insurance through unaffiliated insurance companies. In this capacity, he receives commission-based compensation from the sale of insurance products. He manages the time devoted to insurance business in a manner that does not interfere with his responsibilities at the firm.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Dean Early's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 22, 2017 - Present

EARLY MCCLINTIC & MCMILLAN, LLC

Office #1: 4800 Sugar Grove Blvd. Suite 100, Stafford, TX 77477
RIA
CRD#: 288427
Stafford, TX
Past

January 2, 2009 - October 5, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
STAFFORD, TX
Past

April 29, 2004 - June 11, 2014

EARLY, MCCLINTIC & MCMILLAN

RIA
CRD#: 124277
STAFFORD, TX
Past

January 4, 1999 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
STAFFORD, TX
Past

January 4, 1999 - October 5, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
STAFFORD, TX
Past

September 12, 1997 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

January 1, 1991 - September 30, 1997

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 14, 1987 - January 1, 1991

ROTAN MOSLE INC.

BD
CRD#: 727
Past

January 7, 1985 - October 27, 1986

PRUCO SECURITIES, LLC.

BD
CRD#: 5685

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EM
EARLY MCCLINTIC & MCMILLAN, LLC
EARLY MCCLINTIC & MCMILLAN, LLC | EARLY MCCLINTIC & MCMILLAN, LLP

CRD#: 288427 / SEC#: 801-110886

RIA
Registered Investment Advisory firm - (8/10/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Texas
(8/22/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/12/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/10/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/4/1985
Investment Company Products/Variable Contracts Representative Examination

Current Firm

EM
EARLY MCCLINTIC & MCMILLAN, LLC
EARLY MCCLINTIC & MCMILLAN, LLC | EARLY MCCLINTIC & MCMILLAN, LLP

CRD#: 288427 / SEC#: 801-110886

RIA
Registered Investment Advisory firm - (8/10/2017 Approved)
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Contact information

Main Address
4800 Sugar Grove Blvd. Suite 100, Stafford, TX 77477
Mailing Address
Phone number
(281) 491-5260
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

EARLY MCCLINTIC & MCMILLAN LLC FORM ADV PART 2A BROCHURE MARCH 28, 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts1,629
AUM (Assets Under Management)$ 569,935,884

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.

Company Information

EARLY MCCLINTIC & MCMILLAN, LLC

CRD#: 288427Stafford, TX 77477

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