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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Cain is a financial advisor with Raymond James & Associates, Inc. located in Woodbury, NY. Brian has been in the industry since September 17, 1997. Brian is a licensed Investment Advisor Representative (IAR) with Series 63 and 65 securities licenses, and Series 3, 7, 9, 10, and 31 product and principal licenses. Prior to joining Raymond James, Brian worked for UBS Financial Services Inc., and Dean Witter Reynolds Inc. Brian offers financial planning, educational seminars, portfolio management for individuals, and portfolio management for businesses.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
02/18/2021 - Present
Raymond James & Associates, Inc. (WOODBURY NY)
NJ
09/03/1999 - 01/08/2021
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
09/18/1997 - 08/23/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 10/10/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/30/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/17/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/22/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2005
Series 3 - National Commodity Futures Examination
BC
Issued 10/15/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 09/17/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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