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RM

Robert D. Mcelwain

VANDERBILT SECURITIES
Friendswood, TX
Some features on this profile are disabled
CRD#: 2388342
RM

Professional summary

Robert David Mcelwain, who also goes by David Mcelwain, R. David Mcelwain, Robert Mcelwain, is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Friendswood, Texas.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Mcelwain | R. David Mcelwain | Robert Mcelwain

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.
Meeder Public Funds. Investment related. Start date: 06/20/2025. Address: 121 Del Monte Dr. Friendswood, TX 77546. Title: Director. Duties: Investment consulting to Texas based governmental entities. Salaried employee as Director, Advisory Services. Assist/advise governmental entities to maintain compliance with the Texas Public Funds Investment Act (PFIA) legal requirements. Consult and assist with annual investment policy renewals, investment strategies, cash flow analysis, and investment reporting. Time spent during regular hours: 50%.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert David Mcelwain'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

June 16, 2025 - Present

VANDERBILT SECURITIES, LLC

BD
CRD#: 5953
Friendswood, TX
Past

May 2, 2024 - August 27, 2025

MEEDER PUBLIC FUNDS, INC.

RIA
CRD#: 106816
DUBLIN, OH
Past

June 11, 2019 - July 2, 2021

PATTERSON & ASSOCIATES

RIA
CRD#: 110735
AUSTIN, TX
Past

April 9, 2019 - May 2, 2025

SCF SECURITIES, INC.

BD
CRD#: 47275
FRIENDSWOOD, TX
Past

July 9, 2004 - April 4, 2019

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
Friendswood, TX
Past

April 15, 2002 - July 8, 2004

OXFORD FINANCIAL GROUP

BD
CRD#: 40700
HOUSTON, TX
Past

December 13, 1993 - April 29, 2002

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
HOUSTON, TX
Past

December 10, 1993 - April 29, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

August 19, 1993 - November 22, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(6/25/2025)
RR
Texas
(6/16/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/11/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/27/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/16/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VS
VANDERBILT SECURITIES, LLC
RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Mailing Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Phone number
(631) 845-5100
Established
New York since 12/05/2001
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VANDERBILT CAPITAL, LLCSOLE OWNER
ANTENOR, JR, DANIELCHIEF OPERATIONS OFFICER/OPTIONS/MUNI5839052
DISTANTE, STEPHEN ALFREDCEO - LIMITED PARTNER2206574
PLAPP, MEGAN LYNNFINOP, POO, PFO, CFO6790596
THOMAS, MICHELLE DENISECHIEF COMPLIANCE OFFICER2210435
TRIFILETTI, JOSEPH JOHNPRESIDENT5295897

Disclosures

Regulatory Event5
Arbitration1

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

VANDERBILT SECURITIES, LLC

CRD#: 5953Friendswood, TX

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