Clayton C. Mccain
CETERA INVESTMENT ADVISERS LLC | Senior Financial Advisor
HOUSTON, TX 77024
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CRD#: 6468820
Professional summary
Clayton C Mccain, who also goes by Clayton Mccain, Clayton Conn Mccain, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA WEALTH SERVICES, LLC located in Houston, Texas.
Clayton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Clayton has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Clayton Mccain | Clayton Conn Mccain
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) WILLIAM C MCCAIN JR DESCENDANTS TRUST FOR CLAYTON MCCAIN POSITION: trustee NATURE: family trust intended to hold family investments. 2006 GST TR setup by my father, Bill McCain, to hold intergenerational assets: investments & eventually farm land INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 04/07/2022 ADDRESS: 2048 arlington st, houston TX 77008, United States DESCRIPTION: I am the trustee of the trust, directing control of the investments, choice of investments, managing distributions from the funds of the trust. 2) MORTGAGE LICENSE POSITION: Broker NATURE: review lending needs, advise on mortgage applications INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/08/2015 ADDRESS: 2048 arlington st, houston TX 77008, United States DESCRIPTION: help clients with their lending needs, review income and expense ratios, advise on the type of mortgages to use, help clients through the underwriting process, review ongoing needs on an annual basis. I am currently doing this with Merrill. It will become inactive when i join Avantax. I do not have separate E&O coverage for this activity. It is covered under Merrill. 3) ALLIANCE WEALTH STRATEGIES LLC POSITION: Financial Advisor NATURE: wealth management, retirement planning, estate planning, tax planning, INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 05/15/2024 ADDRESS: 2048 arlington st, houston TX 77008, United States DESCRIPTION: meet with clients, review investment performance, create financial plans, tax planning, income planning, 4) AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES POSITION: Insurance Agent NATURE: selling insurance products approved through Avantax INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/15/2024 ADDRESS: 2048 arlington st, houston TX 77008, United States DESCRIPTION: meet with clients, find insurance needs, and provide best options. 5) DAUNTLESS WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: wealth management, retirement planning, estate planning, tax planning, INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 10/31/2024 ADDRESS: 2048 Arlington St, Houston TX 77008, United States DESCRIPTION: meet with clients, review investment performance, create financial plans, tax planning, income planning,
CRS (Client Relationship Summary) - RIA
Click below to view Clayton C Mccain's 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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6767 Portwest Drive Ste 120, Houston, TX 77024RIA
CRD#: 105644
HOUSTON, TX
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Houston, TX
Past
June 6, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Houston, TX
Past
June 6, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Houston, TX
Past
June 16, 2015 - June 11, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
May 11, 2015 - June 11, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HOUSTON, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/5/2025)
RR
Arkansas(9/5/2025)
RR
Mississippi(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
Senior Financial AdvisorCRD#: 105644Houston, TX 77024TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
