Christopher L. Mccain

CUSO FINANCIAL SERVICES, L.P.

San Diego, CA 92131

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CRD#: 4018018

Professional summary

Christopher Leonard Mccain, CFP®, who also goes by Chris Mccain, Christopher L. Mccain, is a registered financial advisor currently at CUSO FINANCIAL SERVICES, L.P. located in San Diego, California.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Christopher has worked at 11 firms and has passed the Series 66, Series 63, Series 65, Series 99TO, SIE, Series 7, Series 31 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Mccain | Christopher L. Mccain

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

September 21, 2015 - Present

CUSO FINANCIAL SERVICES, L.P.

Office #1: 10150 Meanley Drive 1st Floor, San Diego, CA 92131

CRD#: 42132

San Diego, CA

Current

September 21, 2015 - Present

CUSO FINANCIAL SERVICES, L.P.

Office #1: 10150 Meanley Drive 1st Floor, San Diego, CA, 92131

CRD#: 42132

San Diego, CA

Current

September 21, 2022 - Present

NEXT FINANCIAL GROUP, INC.

Office #1: 11740 Katy Freeway Suite 600, Houston, TX 77079

CRD#: 46214

Houston, TX

Current

September 21, 2022 - Present

CADARET, GRANT & CO., INC.

Office #1: 100 Madison Street Suite 1300, Syracuse, NY 13202

CRD#: 10641

Syracuse, NY

Past

September 21, 2022 - September 4, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

PASADENA, CA

Past

September 21, 2022 - September 4, 2025

SCF SECURITIES, INC.

CRD#: 47275

SAN DIEGO, CA

Past

January 15, 2016 - September 4, 2025

SORRENTO PACIFIC FINANCIAL, LLC

RIA

CRD#: 127787

SAN DIEGO, CA

Past

January 15, 2016 - September 4, 2025

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

SAN DIEGO, CA

Past

July 29, 2015 - October 2, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

July 1, 2015 - October 2, 2015

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

May 2, 2009 - August 6, 2009

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

ALPINE, CA

Past

May 2, 2009 - August 6, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

ALPINE, CA

Past

February 18, 2009 - May 2, 2009

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

ALPINE, CA

Past

February 17, 2009 - May 2, 2009

WAMU INVESTMENTS, INC.

CRD#: 599

ALPINE, CA

Past

April 25, 2003 - February 11, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN DIEGO, CA

Past

September 18, 2002 - February 11, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

SAN DIEGO, CA

Past

August 21, 2000 - June 27, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN DIEGO, CA

Past

January 31, 2000 - June 27, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

California
(9/21/2015)

IAR

California
(9/21/2015)

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 66

Date: 7/28/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/22/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/22/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/1/2015

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 2/25/2000

Futures Managed Funds Examination

Principal/Supervisory Exam

Series 24

Date: 12/24/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132 / SEC#: 801-60300, 8-49711

Terminated by SEC on 12/09/2025

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Contact information

Main Address

10150 Meanley Drive 1st Floor, San Diego, CA 92131

Mailing Address

Phone number

(858) 530-4400

Established

California since 11/07/1996

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

791

FINRA licenses (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CUSO FINANCIAL WRAP FEE PROGRAM BROCHURE MARCH 2025 (3/28/2025)

CFS FORM ADV PART 2A BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AWS 3, INC.	LIMITED PARTNER
AWS 1, LLC	GENERAL PARTNER
HAWLEY, AMANDA CANDELMO	CORPORATE SECRETARY	3214453
MADURSKI, ANGELA JILL	FINOP
SIMONSON, MARY KATHRYN	ADVISORY CHIEF COMPLIANCE OFFICER	1297398
SIMONSON, MARY KATHRYN	CHIEF COMPLIANCE OFFICER	1297398

Regulatory assets under management

Total Number of Accounts	29,354
AUM (Assets Under Management)	$ 5,378,345,125

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/27/2024	Cover Page	Report
01/10/2024	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

Christopher L. Mccain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CUSO FINANCIAL SERVICES, L.P.

NEXT FINANCIAL GROUP, INC.

CADARET, GRANT & CO., INC.

WESTERN INTERNATIONAL SECURITIES, INC.

SCF SECURITIES, INC.

SORRENTO PACIFIC FINANCIAL, LLC

SORRENTO PACIFIC FINANCIAL, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/2015

Series 63

Date: 3/22/2000

Series 65

Date: 2/22/2000

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/1/2015

Series 31

Date: 2/25/2000

Series 24

Date: 12/24/2015

FINRA

Current Firm

CUSO FINANCIAL SERVICES, L.P.

Contact information

FINRA licenses (1 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

CUSO FINANCIAL SERVICES, L.P.

TRUST BUT VERIFY

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