Iain E. Mcewan
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.
Iain Edward Mcewan was a registered financial professional .
Iain is a previously registered financial professional and started their career in finance in 2003. Iain had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 11 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2023 - April 30, 2024
ENVESTNET EMBEDDED ADVISORY, INC.
March 8, 2007 - August 5, 2025
ENVESTNET PMC
March 7, 2007 - February 17, 2020
PORTFOLIO BROKERAGE SERVICES, INC.
May 12, 2004 - June 22, 2005
FINANCIAL STRATEGIES, LLC
January 13, 2003 - June 22, 2005
EASTON INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 11
Date: 1/10/2003
Assistant Representative-Order Processing Qualification ExamCurrent Firm
ENVESTNET EMBEDDED ADVISORY, INC.
CRD#: 322162 / SEC#: 801-126477
Contact information
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 10,415 |
Red Flags
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