Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Caine is a Registered Representative and Investment Adviser Representative with over 30 years of experience in the financial services industry. Brian is currently registered with MML Investors Services, LLC, based in Holyoke, MA. Brian is a licensed insurance broker as well, offering a variety of insurance products to his clients. He has a strong background in securities and investment advisory services, with a focus on portfolio management for individuals and businesses. Prior to joining MML Investors Services, LLC, Brian held positions with USI Securities, Inc., Prudential Securities Incorporated, Smith Barney Inc., Lehman Brothers Inc., and E. F. Hutton & Company Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation programs
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Solicitors fees
1
2
MA
04/10/2023 - Present
MML Investors Services, LLC (HOLYOKE MA)
CT
08/15/2002 - 02/03/2003
USI SECURITIES, INC. (GLASTONBURY CT)
MA
12/17/2001 - 05/09/2002
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
MA
01/14/2000 - 12/31/2000
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NY
04/21/1995 - 03/30/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 05/11/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/21/1986 - 05/14/1988
E. F. HUTTON & COMPANY INC
BOTH
Issued 12/31/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/05/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/17/1987
Series 3 - National Commodity Futures Examination
BC
Issued 11/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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