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Joshua Alan Cain

Charles Schwab & CO., Inc.

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About Joshua Alan Cain

Joshua Alan Cain is a financial advisor with Charles Schwab & CO., Inc. in Indianapolis, Indiana. Joshua has been in the securities industry for over 15 years, with experience at firms including CETERA INVESTMENT SERVICES LLC, PNC INVESTMENTS, and NATCITY INVESTMENTS, INC. Joshua is registered with the Securities and Exchange Commission and is licensed to provide investment advice in Indiana and California. Joshua offers financial planning, portfolio management, and selection of other advisors services.

Firm Information

Joshua Cain is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Joshua Cain’s Registration & Firm History

IN

03/18/2016 - Present

Charles Schwab & CO., Inc. (Indianapolis IN)

IN

07/07/2014 - 06/24/2015

CETERA INVESTMENT SERVICES LLC (Carmel IN)

IN

11/13/2009 - 05/30/2014

PNC INVESTMENTS (FISHERS IN)

IN

11/18/2005 - 11/13/2009

NATCITY INVESTMENTS, INC. (ANDERSON IN)

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Licenses & Designations

IA

Issued 05/03/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/18/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/02/2016

Series 7 - General Securities Representative Examination

BC

Issued 11/17/2005

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Joshua Alan Cain.
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