Erin P. Mcclain
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.
Erin Pember Mcclain, CFP®, who also goes by Erin P Mcclain, Erin Mcclain, was a registered financial professional .
Erin is a previously registered financial professional and started their career in finance in 2007. Erin had worked at 8 firms and has passed the Series 65, Series 63, Series 66, Series 6TO, SIE, Series 7, Series 86, Series 87, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2023 - October 24, 2023
CETERA INVESTMENT ADVISERS LLC
April 6, 2023 - October 24, 2023
CETERA INVESTMENT SERVICES LLC
May 26, 2017 - August 19, 2022
VANGUARD MARKETING CORPORATION
May 23, 2017 - August 19, 2022
VANGUARD ADVISERS, INC.
May 14, 2013 - May 11, 2017
MYCIO WEALTH PARTNERS, LLC
December 5, 2011 - May 3, 2013
FRIEDENTHAL FINANCIAL, LLC
January 4, 2010 - May 12, 2010
KAUFMAN BROS., L.P.
September 14, 2007 - July 17, 2008
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 6TO
Date: 4/6/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 55
Date: 12/19/2007
Limited Representative-Equity Trader ExamCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
