Travis J. 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.
Travis James Mcclain was a registered financial professional .
Travis is a previously registered financial professional and started their career in finance in 1997. Travis had worked at 6 firms and has passed the Series 63, Series 55 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
November 30, 1999 - February 19, 2004
SALOMON GREY FINANCIAL CORPORATION
September 3, 1999 - November 5, 1999
AMERICAN FRONTEER FINANCIAL CORPORATION
March 23, 1999 - August 30, 1999
HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC
November 12, 1998 - December 23, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
August 13, 1998 - November 4, 1998
AMERICAN INVESTMENT SERVICES, INC.
April 29, 1998 - August 7, 1998
LLOYD WADE SECURITIES INC.
November 28, 1997 - April 30, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
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 55
Date: 3/1/2001
Limited Representative-Equity Trader ExamCurrent Firm
SALOMON GREY FINANCIAL CORPORATION
CRD#: 43413 / SEC#: , 8-50268
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 5 |
| Financial | 1 |
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.
