Jessica L. Mccain

WATERWAY WEALTH MANAGEMENT, L.L.C.

The Woodlands, TX 77380

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CRD#: 6142435

Professional summary

Jessica Leigh Mccain, who also goes by Jessica Leigh Carlson, is a registered financial advisor currently at WATERWAY WEALTH MANAGEMENT, L.L.C. located in The Woodlands, Texas.

Jessica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Jessica has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jessica Leigh Carlson

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.

Stella & Dot / 2422 Apperson Dr Midland,Texas 79705 / No/ Privately Held / USD / No / No / / Start Date 10/25/2016 /

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jessica Leigh 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

February 11, 2025 - Present

WATERWAY WEALTH MANAGEMENT, L.L.C.

Office #1: 21 Waterway Suite 500, The Woodlands, TX 77380

RIA

CRD#: 164975

The Woodlands, TX

Past

September 20, 2024 - January 21, 2025

PARK AVENUE INVESTMENT ADVISORY, LLC

RIA

CRD#: 310203

THE WOODLANDS, TX

Past

September 20, 2024 - January 21, 2025

PARK AVENUE SECURITIES LLC

CRD#: 46173

THE WOODLANDS, TX

Past

May 2, 2016 - September 10, 2024

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

THE WOODLANDS, TX

Past

December 1, 2015 - September 10, 2024

UBS FINANCIAL SERVICES INC.

CRD#: 8174

THE WOODLANDS, TX

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".

WATERWAY WEALTH MANAGEMENT, L.L.C.

CRD#: 164975 / SEC#: 801-77571

RIA

Registered Investment Advisory firm - (2/4/2013 Approved)

Texas

Registered Investment Advisory firm - (2/6/2013 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.

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

Texas
(2/11/2025)

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 66

Date: 5/2/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/2015

General Securities Representative Examination

Current Firm

WATERWAY WEALTH MANAGEMENT, L.L.C.

CRD#: 164975 / SEC#: 801-77571

RIA

Registered Investment Advisory firm - (2/4/2013 Approved)

Texas

Registered Investment Advisory firm - (2/6/2013 Terminated)

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Contact information

Main Address

21 Waterway Suite 500, The Woodlands, TX 77380

Mailing Address

Phone number

(281) 363-0000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATERWAY WRAP BROCHURE (2/18/2025)

WWM ADV 2A (2/18/2025)

Regulatory assets under management

Total Number of Accounts	948
AUM (Assets Under Management)	$ 552,789,475

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

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Jessica L. Mccain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jessica Leigh Mccain's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE INVESTMENT ADVISORY, LLC

PARK AVENUE SECURITIES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

WATERWAY WEALTH MANAGEMENT, L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/2/2016

SIE

Date: 10/1/2018

Series 7

Date: 12/1/2015

Current Firm

WATERWAY WEALTH MANAGEMENT, L.L.C.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERWAY WEALTH MANAGEMENT, L.L.C.

TRUST BUT VERIFY

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