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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-09-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 03/2015 | 05/2024 |
| Bank Of America, N.A. | Houston | TX | 03/2015 | 05/2024 |
| Alliance Wealth Strategies Llc | Houston | TX | 05/2024 | Present |
| Avantax Investment Services Inc. | Houston | TX | 06/2024 | 09/2025 |
| Avantax Advisory Services | Houston | TX | 06/2024 | 09/2025 |
| Avantax Insurance Agency, Llc | Houston | TX | 06/2024 | 09/2025 |
| Mortgage License | Houston | TX | 07/2015 | Present |
| Alliance Wealth Strategies Llc | Houston | TX | 05/2024 | Present |
| Avantax Insurance Agency And/Or Avantax Insurance Services | Houston | TX | 05/2024 | 09/2025 |
| Cetera Wealth Services, Llc | Houston | TX | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
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,
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-06-15 |
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