Shelton R. Mcclain

OSAIC WEALTH

Baton Rouge, LA 70802

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CRD#: 2896536

Professional summary

Shelton Rene Mcclain is a registered financial advisor currently at OSAIC WEALTH, INC. located in Baton Rouge, Louisiana.

Shelton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Shelton has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

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.

1. MCCLAIN FINANCIAL GROUP, LLC; INVEST RELATED; 658 SAINT CHARLES STREET, BATON ROUGE, LA 70802, INSURANCE SALES, 08/2008, 5/0, FIXED INSURANCE SALES; R.H.CACHE, LLC, NON-INVEST RELATED, 658 SAINT CHARLES STREET, BATON ROUGE LA 70802, REAL ESTATE RELATED, PART-OWNER, 06/1995, 5/0, PURCHASES AND SALES REAL ESTATE/NEW CONSTRUCTION; IMANI GROUP,LLC, NON-INVEST RELATED658 SAINT CHARLES STREET, BATON ROUGE, LA 70802, REAL ESTATE RELATED, PART-OWNER, 06/1997, 5/0, PURCHASE AND SALE REAL ESTATE/NEW CONSTRUCTION; THE MCCLAIN-BLANKS GROUP,LLC, NON-INVEST RELATED, 658 SAINT CHARLES STREET, BATON ROUGE, LA 70802, REAL ESTATE RELATED, PART-OWNER, 01/2005, 5/0, PURCHASES AND SALE REALESTATE/NEW CONSTRUCTION; ANNUITY MARKETING SERVICES, INVESTED RELATED, 3368 BRENTWOOD DR. B.R., LA. 70809, AGENT/REP, 10/1/2008. 5/5, SELL LIFE INSURANCE, FIXED ANNUITY AND LONG TERM CARE, AGENT/REP FOR THIS 3 RD PARTY VENDOR; KALIK GROUP LLC : NON-INVEST RELATED,658 ST. CHARLES STREET BATON ROUGE,LA 70802,REAL ESTATE RELATED,PART OWNER, 06-1998, 5 HRS/MONTH,PURCHASE AND SALES OF REAL ESTATE/NEW CONSTRUCTION. SAGEPOINT FINANCIAL, INC INVESTMENT RELATED 658 SAINT CHARLES ST, BATON ROUGE, LA 70802, 7/2008 60 HOURS PER MONTH/ MARKET HOURS, FEE BASED INVESTMENT ADVISORY SERVICES. 2. S AND P INVESTMENT GROUP LLC POSITION: owner NATURE: s and p investments group ,LLC INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2019 ADDRESS: 3793 Spanish trail west, Zachary LA 70791, United States DESCRIPTION: buy real restate for rental and sell 3. COMPREHENSIVE ADULT PRIMARY CARE CLINIC, LLC POSITION: CFO NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 761 Colonial Dr, Baton Rouge LA 70806, United States DESCRIPTION: Assisting my wife with monthly financial reports

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shelton Rene Mcclain's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Shelton Rene Mcclain'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

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 658 Saint Charles Street, Baton Rouge, LA 70802

RIA

CRD#: 23131

Baton Rouge, LA

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 658 Saint Charles Street, Baton Rouge, LA 70802

RIA

CRD#: 23131

Baton Rouge, LA

Past

July 17, 2008 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

BATON ROUGE, LA

Past

July 15, 2008 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

BATON ROUGE, LA

Past

April 23, 2004 - July 24, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

BATON ROUGE, LA

Past

April 22, 2004 - July 24, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

BATON ROUGE, LA

Past

November 13, 1997 - March 25, 2004

PFIC SECURITIES CORPORATION

CRD#: 34941

FRANKLIN, TN

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

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

Alabama
(9/1/2023)

Florida
(9/1/2023)

IAR

Florida
(9/1/2023)

Georgia
(9/1/2023)

IAR

Georgia
(9/1/2023)

Illinois
(9/1/2023)

IAR

Illinois
(9/1/2023)

Louisiana
(9/1/2023)

IAR

Louisiana
(9/1/2023)

Mississippi
(9/1/2023)

IAR

Mississippi
(9/1/2023)

Texas
(9/1/2023)

IAR

Texas
(9/1/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/4/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/5/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/11/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/6/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Shelton R. Mcclain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shelton Rene Mcclain's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Shelton Rene Mcclain's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

PFIC SECURITIES CORPORATION

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/4/2004

Series 63

Date: 10/9/1997

SIE

Date: 10/1/2018

Series 7

Date: 1/5/2004

Series 6

Date: 11/11/1997

Series 24

Date: 12/6/2006

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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