John Brock Mcclain

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2014 → 06/2020
  Voya Financial Advisors
  Leawood, KS
• 06/2020 → 06/2024
  Securities America, Inc
  Overland Park, KS
• 06/2020 → 06/2024
  Securities America Advisors
  Overland Park, KS
• 06/2024 → 03/2025
  Osaic Wealth, Inc.
  Overland Park, KS
• 06/2024 → 03/2025
  Osaic Wealth, Inc.
  Overland Park, KS
• 03/2025 → Present
  Lpl Financial Llc
  Overland Park, KS

Previous Registrations

• 2024-06-14 → 2025-04-02
  Osaic Wealth, Inc.
  Overland Park, KS
  Clinton, MO
• 2020-06-10 → 2024-06-14
  Securities America Advisors, Inc.
  Overland Park, KS
  Clinton, MO
• 2011-01-19 → 2020-06-15
  Voya Financial Advisors, Inc.
  Overland Park, KS
  Overland Park, KS
  Lake St. Louis, MO
  West Des Moines, IA
  Clinton, MO
  Clinton, MO

Other Businesses

1- 01/2025 / Horizon Capital Advisors / DBA for LPL Business (entity for LPL business) / Investment Related / 40 hrs mth / 8 hrs during trading / At reported business location(s)

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-01-12
• S63 Uniform Securities Agent State Law Examination
  2005-03-22

Designations

• Certified Financial Planner

Other Names

• J. Brock Mcclain
• Brock Mcclain