Richard M. Mclain
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.
Richard Merle Mclain, who also goes by Dick Mclain, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 7 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
January 6, 2009 - July 7, 2020
THE LEADERS GROUP, INC.
April 10, 1996 - December 31, 2008
HIMCO DISTRIBUTION SERVICES COMPANY
March 1, 1991 - May 1, 1996
WOODBURY FINANCIAL SERVICES, INC.
August 6, 1990 - March 7, 1991
F & G SECURITIES, INC.
November 19, 1989 - July 25, 1990
OSAIC WEALTH, INC.
October 4, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 26, 1987 - October 12, 1988
AMERIPRISE FINANCIAL SERVICES, 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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