Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Bradley Cain is an active broker and investment advisor representative with Robert W. Baird & Co. Inc. James has been in the financial services industry since November 1998 and has held registrations in multiple states. James has a strong track record of experience, having worked previously with Dean Witter Reynolds Inc. and WMA Securities, Inc. James specializes in providing financial planning, portfolio management, and other advisory services to individuals, businesses, and institutions.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
OH
11/04/2016 - Present
Robert W. Baird & Co. Inc. (COLUMBUS OH)
NY
06/27/2000 - 03/07/2001
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
GA
11/02/1998 - 07/25/2000
WMA SECURITIES, INC. (DULUTH GA)
IA
Issued 07/19/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/18/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/18/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/03/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 10/30/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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