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Holly M. Cain

Northwestern Mutual Investment Services, LLC

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About Holly M. Cain

Holly Cain is a financial advisor who has been active in the industry since 2005. Holly is a registered representative of Northwestern Mutual Investment Services, LLC and is currently licensed in Ohio. She holds the Series 7, Series 9, Series 10, Series 66 and SIE licenses. Holly has over 17 years of experience in the financial services industry and has a strong understanding of investment strategies and financial planning. Holly is committed to providing her clients with personalized financial advice that helps them reach their financial goals.

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. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

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 02/27/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/28/2008

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 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/26/2005

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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