MM
Michael O. Mclain
CETERA INVESTMENT ADVISERS LLC
LIGHTHOUSE POINT, FL 33064
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CRD#: 329162
MM
Professional summary
Michael Orange Mclain is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lighthouse Point, Florida and CETERA WEALTH SERVICES, LLC located in Lighthouse Point, Florida.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Michael has worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 000, Series 1, Series 9, Series 10, Series 8 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) THE GRAND ORANGE, LLC; SINCE 01/01/2004; SAME AS BRANCH ADDRESS; PARTNER; This LLC is used strictly to pay office bills and payroll and to do business through Summit Brokerage; 3 HOURS SPENT ON ACTIVITY PER MONTH, 0 HOURS SPENT DURING TRADING HOURS
(2) NAME OF OTHER BUSINESS: ROTARY CLUB OF POMPANO BEACH ;
INVESTMENT RELATED: NO ;
ADDRESS: PO BOX 94, POMPANO BEACH FL 33061 ;
NATURE OF BUSINESS: ROTARY CLUB ;
START DATE: 01/2020 ;
POSITION/TITLE/RELATIONSHIP: PRESIDENT ;
APX NUMBER OF HOURS PER WEEK: LESS THAN 1;
APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1;
BRIEF DESCRIPTION OF DUTIES: RUN MEETINGS, SIGN CHECKS WITH ANOTHER PERSON WHEN THE BOARD APPROVES DONATIONS ;
CRS (Client Relationship Summary) - RIA
Click below to view Michael Orange Mclain's 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®
NoneExperience
Current
May 31, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2050 E Sample Road, Lighthouse Point, FL 33064RIA
CRD#: 105644
LIGHTHOUSE POINT, FL
Current
August 22, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2050 E Sample Road, Lighthouse Point, FL 33064BD
CRD#: 13572
Lighthouse Point, FL
Past
March 17, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
LIGHTHOUSE POINT, FL
Past
May 29, 2008 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
LIGHTHOUSE POINT, FL
Past
July 15, 2005 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
LIGHTHOUSE POINT, FL
Past
January 2, 2001 - July 19, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
January 3, 1994 - January 2, 2001
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
April 21, 1983 - January 3, 1994
JW GENESIS CLEARING CORP.
BD
CRD#: 6631
BOCA RATON, FL
Past
February 14, 1979 - April 15, 1983
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
February 24, 1978 - October 22, 1978
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
December 26, 1972 - February 24, 1978
REYNOLDS SECURITIES, INC.
BD
CRD#: 712
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
Arizona(9/20/2019)
RR
Florida(9/9/2019)
IAR
Florida(5/31/2023)
RR
Georgia(9/20/2019)
RR
Massachusetts(9/20/2019)
RR
New Hampshire(9/20/2019)
RR
New Jersey(9/20/2019)
RR
New York(9/20/2019)
RR
North Carolina(9/20/2019)
RR
South Carolina(1/21/2025)
RR
Tennessee(5/31/2023)
RR
Texas(9/20/2019)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 000
Date: 12/18/1972
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 12/18/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/17/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Lighthouse Point, FL 33064TRUST BUT VERIFY
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