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CM

Christopher L. Mccain

TRUIST ADVISORY SERVICES
EL CAJON, CA
Some features on this profile are disabled
CRD#: 4018018
CM

Professional summary

Christopher Leonard Mccain, CFP®, who also goes by Chris Mccain, Christopher L. Mccain, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in El Cajon, California and TRUIST INVESTMENT SERVICES, INC. located in Richmond, Virginia.

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 13 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) - RIA

Click below to view Christopher Leonard Mccain'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®
CFP®

Certified Financial Planner

Experience

Current

January 12, 2026 - Present

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
EL CAJON, CA
Current

January 12, 2026 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 1001 Semmes Ave Fl 3, Richmond, VA 23286
BD
CRD#: 17499
Richmond, VA
Past

September 21, 2022 - September 4, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
PASADENA, CA
Past

September 21, 2022 - September 4, 2025

SCF SECURITIES, INC.

BD
CRD#: 47275
SAN DIEGO, CA
Past

September 21, 2022 - November 7, 2025

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
HOUSTON, TX
Past

September 21, 2022 - November 7, 2025

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY
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

BD
CRD#: 127787
SAN DIEGO, CA
Past

September 21, 2015 - November 7, 2025

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
SAN DIEGO, CA
Past

September 21, 2015 - November 7, 2025

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
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

BD
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.

BD
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.

BD
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.

BD
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.

BD
CRD#: 7556
PURCHASE, NY

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".
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA
Registered Investment Advisory firm - (5/18/2016 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
California
(1/12/2026)
IAR
California
(1/12/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/28/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
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
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/1/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 2/25/2000
Futures Managed Funds Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/24/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA
Registered Investment Advisory firm - (5/18/2016 Approved)
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Contact information

Main Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Mailing Address
Po Box 4418 Mc 107, Atlanta, GA 30302
Phone number
(800) 874-4770
Established
Firm type
Fiscal year end
# of Employees
2,469

SEC notice filing (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (12/1/2025)
TAS AMC WRAP MANAGED PROGRAMS BROCHURE (12/1/2025)

Regulatory assets under management

Total Number of Accounts124,363
AUM (Assets Under Management)$ 67,736,740,585

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
04/24/2025
Cover Page
Report
03/28/2024
Cover Page
Report
04/26/2023
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.

Company Information

TRUIST ADVISORY SERVICES, INC.

CRD#: 283390El Cajon, CA

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