Joshua P. Mcclain

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CRD#: 4401733

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.

Joshua Patrick Mcclain, who also goes by Josh Patrick Mcclain, Joshua P Mcclain, was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 2001. Joshua had worked at 4 firms and has passed the Series 65, Series 63, Series 66, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Josh Patrick Mcclain | Joshua P Mcclain

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®

None

Experience

Past

January 16, 2014 - April 4, 2014

UNITED ADVISORS AMERICA

RIA

CRD#: 147350

PROSPER, TX

Past

August 10, 2007 - December 6, 2007

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

Past

June 22, 2004 - January 3, 2005

AFS BROKERAGE, INC.

CRD#: 25924

AUSTIN, TX

Past

August 21, 2001 - May 21, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

THE WOODLANDS, TX

Past

August 7, 2001 - May 21, 2003

MORGAN STANLEY DW INC.

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".

UNITED ADVISORS AMERICA

UNITED ADVISORS AMERICA | UNITED ADVISORS CORPORATION | UNITED ADVISORS AMERICA CORPORATION

CRD#: 147350 / SEC#: 801-114134

RIA

Registered Investment Advisory firm - (10/12/2018 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2010 Terminated)

Arkansas

Registered Investment Advisory firm - (10/29/2018 Terminated)

Florida

Registered Investment Advisory firm - (8/23/2015 Terminated)

Georgia

Registered Investment Advisory firm - (10/29/2018 Terminated)

Illinois

Registered Investment Advisory firm - (10/17/2018 Terminated)

Indiana

Registered Investment Advisory firm - (6/20/2011 Terminated)

Iowa

Registered Investment Advisory firm - (11/1/2018 Terminated)

Kansas

Registered Investment Advisory firm - (10/29/2018 Terminated)

Kentucky

Registered Investment Advisory firm - (10/29/2018 Terminated)

Michigan

Registered Investment Advisory firm - (10/30/2018 Terminated)

Missouri

Registered Investment Advisory firm - (10/29/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (10/30/2018 Terminated)

Ohio

Registered Investment Advisory firm - (10/30/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - (10/29/2018 Terminated)

Oregon

Registered Investment Advisory firm - (2/27/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/30/2018 Terminated)

Tennessee

Registered Investment Advisory firm - (11/1/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - (10/30/2018 Terminated)

Washington

Registered Investment Advisory firm - (1/28/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/29/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 10/3/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/8/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/20/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6

Date: 8/8/2007

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 8/3/2001

General Securities Representative Examination

Current Firm

UNITED ADVISORS AMERICA

UNITED ADVISORS AMERICA | UNITED ADVISORS CORPORATION | UNITED ADVISORS AMERICA CORPORATION

CRD#: 147350 / SEC#: 801-114134

RIA

Registered Investment Advisory firm - (10/12/2018 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2010 Terminated)

Arkansas

Registered Investment Advisory firm - (10/29/2018 Terminated)

Florida

Registered Investment Advisory firm - (8/23/2015 Terminated)

Georgia

Registered Investment Advisory firm - (10/29/2018 Terminated)

Illinois

Registered Investment Advisory firm - (10/17/2018 Terminated)

Indiana

Registered Investment Advisory firm - (6/20/2011 Terminated)

Iowa

Registered Investment Advisory firm - (11/1/2018 Terminated)

Kansas

Registered Investment Advisory firm - (10/29/2018 Terminated)

Kentucky

Registered Investment Advisory firm - (10/29/2018 Terminated)

Michigan

Registered Investment Advisory firm - (10/30/2018 Terminated)

Missouri

Registered Investment Advisory firm - (10/29/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (10/30/2018 Terminated)

Ohio

Registered Investment Advisory firm - (10/30/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - (10/29/2018 Terminated)

Oregon

Registered Investment Advisory firm - (2/27/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/30/2018 Terminated)

Tennessee

Registered Investment Advisory firm - (11/1/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - (10/30/2018 Terminated)

Washington

Registered Investment Advisory firm - (1/28/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/29/2018 Terminated)

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Contact information

Main Address

290 S Preston Road Suite 220, Prosper, TX 75078

Mailing Address

Phone number

(877) 443-0610

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A JUNE 2025 (6/30/2025)

Regulatory assets under management

Total Number of Accounts	2,625
AUM (Assets Under Management)	$ 353,695,420

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

Joshua P. Mcclain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUNSET FINANCIAL SERVICES, INC.

AFS BROKERAGE, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

UNITED ADVISORS AMERICA

State Registrations and Notice Filings

Exams

Series 65

Date: 10/3/2013

Series 63

Date: 8/8/2007

Series 66

Date: 8/20/2001

Series 6

Date: 8/8/2007

Series 7

Date: 8/3/2001

Current Firm

UNITED ADVISORS AMERICA

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UNITED ADVISORS AMERICA

TRUST BUT VERIFY

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