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Holly M. Cain

Northwestern Mutual Investment Services, LLC

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About Holly M. Cain

Holly Cain is a registered representative of Northwestern Mutual Investment Services, LLC and has been in the industry since March 2005. Holly is licensed to offer investment advice in 51 states. Holly holds Series 7, Series 9, Series 10, Series 66, and Series 99TO licenses and is active in the insurance industry. Holly is based in Upper Arlington, OH and specializes in providing investment research and referrals to other advisors.

Firm Information

Holly Cain is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

1349 W Lane Ave

Upper Arlington, OH 43221

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

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.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Holly Cain’s Registration & Firm History

OH

03/24/2008 - Present

Northwestern Mutual Investment Services, LLC (Upper Arlington OH)

OH

02/28/2005 - 11/26/2007

ROYAL ALLIANCE ASSOCIATES, INC. (COLUMBUS OH)

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Licenses & Designations

BOTH

Issued 2/27/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 1/28/2008

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/17/2007

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 1/2/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 2/26/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Holly M. Cain.
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