Daniel J. Mccain

MCCAIN CAPITAL LLC

LEONARD, TX

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CRD#: 7420002

Professional summary

Daniel Joseph Mccain, who also goes by Daniel Joseph Mccain, is a registered financial advisor currently at MCCAIN CAPITAL LLC located in Leonard, Texas.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Daniel has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel Joseph 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph 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®

None

Experience

Current

June 6, 2023 - Present

MCCAIN CAPITAL LLC

RIA

CRD#: 325586

LEONARD, TX

Past

January 10, 2022 - November 15, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

WESTLAKE, TX

Past

October 25, 2021 - November 15, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

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
(6/6/2023)

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: 1/4/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/25/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/18/2021

Securities Industry Essentials Examination

Current Firm

MCCAIN CAPITAL LLC

MCCAIN CAPITAL LLC | MCCAIN FINANCIAL SERVICES LLC

CRD#: 325586 / SEC#:

Texas

Registered Investment Advisory firm - (6/6/2023 Approved)

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Contact information

Main Address

Leonard, TX

Mailing Address

Phone number

(903) 486-7008

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Firm Stability Insights

Daniel J. Mccain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Mccain's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCCAIN CAPITAL LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/4/2022

Series 7TO

Date: 10/25/2021

SIE

Date: 10/18/2021

Current Firm

MCCAIN CAPITAL LLC

Contact information

Documents

Red Flags

Company Information

MCCAIN CAPITAL LLC

TRUST BUT VERIFY

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