Erica L. Mccain

AE WEALTH MANAGEMENT

Cincinnati, OH 45069

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CRD#: 4384705

Professional summary

Erica Lynne Mccain, who also goes by Erica Lynne Adkins, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Cincinnati, Ohio.

Erica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Erica has worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erica Lynne Adkins

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.) MCCAIN & ASSOCIATES OF OHIO, LLC; YES INVESTMENT RELATED; 8364 HAYSPORT ROAD, WHEELERSBURG, OH 45694; INSURANCE SALES; OWNER; START DATE 01/2007; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES. 2.) ERICA MCCAIN; NOT INVESTMENT RELATED; 42 JACOB DR, WHEELERSBURG, OH 45694; PUBLICATION - TITLE: LADIES WITH LOOT; AUTHOR; START DATE 07/2015; APPROX 1 HRS/MONTH; APPROX 0 HRS/MONTH DURING TRADING; COLLECT ROYALTIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erica Lynne 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®

None

Experience

Current

April 22, 2020 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 9078 Union Centre Blvd Suite 102, Cincinnati, OH 45069Office #2: 8364 Hayport Rd, Wheelersburg, OH 45694

RIA

CRD#: 282580

Cincinnati, OH

Past

January 18, 2018 - April 27, 2020

COPPELL ADVISORY SOLUTIONS LLC

RIA

CRD#: 156549

WHEELERSBURG, OH

Past

March 29, 2016 - March 28, 2018

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

WHEELERSBURG, OH

Past

November 18, 2010 - December 31, 2017

QUESTAR CAPITAL CORPORATION

CRD#: 43100

WHEELERSBURG, OH

Past

January 2, 2009 - November 5, 2010

PARKLAND SECURITIES, LLC

CRD#: 115368

WHEELERSBURG, OH

Past

February 7, 2008 - November 24, 2008

SCF SECURITIES, INC.

CRD#: 47275

SAN DIEGO, CA

Past

May 28, 2004 - December 20, 2006

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

PORTSMOUTH, OH

Past

September 6, 2001 - December 4, 2003

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

CINCINNATI, OH

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".

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 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.

Highlighted states indicate IAR registrations

IAR

Ohio
(4/22/2020)

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.

Exams

State Security Law Exam

Series 63

Date: 11/12/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/5/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/21/2004

Investment Company Products/Variable Contracts Principal Examination

Current Firm

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

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Contact information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Mailing Address

Phone number

(866) 363-9595

Established

Firm type

Fiscal year end

# of Employees

602

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (10/1/2025)

FORM ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	111,059
AUM (Assets Under Management)	$ 37,525,706,084

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

Erica L. Mccain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erica Lynne Mccain's CRS (Customer Relationship Summary).

Certified licenses

Experience

COPPELL ADVISORY SOLUTIONS LLC

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

PARKLAND SECURITIES, LLC

SCF SECURITIES, INC.

W&S BROKERAGE SERVICES, INC.

W&S BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/12/2015

SIE

Date: 12/31/2017

Series 6

Date: 9/5/2001

Series 26

Date: 9/21/2004

Current Firm

AE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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