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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Judith? Claim Your ProfileJudith Cain is a financial advisor with over 20 years of experience. Judith holds a Series 7 and Series 66 license and is registered with the state of California as an Investment Advisor Representative and Broker-Dealer. Judith currently works at D.a. Davidson & Co., a full-service investment firm. Judith has a strong track record of providing financial advice to individuals, families, and businesses. She has a deep understanding of the financial markets and is committed to helping clients achieve their financial goals. Previously, Judith worked at Crowell Weedon & Co., and before that, she worked at Salomon Smith Barney Inc. and Lehman Brothers Inc. Judith has experience in various financial areas such as retirement planning, college savings, estate planning, and investment management.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
11/25/2013 - Present
D.a. Davidson & Co. (PASADENA CA)
CA
11/04/2013 - 11/25/2013
CROWELL WEEDON & CO. (PASADENA CA)
CA
01/01/2004 - 11/04/2013
CROWELL, WEEDON & CO. (PASADENA CA)
NY
06/25/1999 - 03/30/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
12/24/1998 - 06/14/1999
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/02/1988 - 10/18/1988
PRINTON KANE & CO., L.P.
NA
07/18/1987 - 10/18/1988
PRINTON, KANE GOVERNMENT SECURITIES, INC.
BOTH
Issued 01/30/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/11/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/24/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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