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Kerri E Cain

Guggenheim Investor Services, LLC

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About Kerri E Cain

Kerri E. Cain is a financial professional with over nine years of experience in the industry. Kerri is currently registered with Guggenheim Investor Services, LLC. Previously, Kerri worked at Guggenheim Funds Distributors, LLC and Guggenheim Securities, LLC. Kerri holds several industry licenses, including the Series 7, Series 24, Series 27, and Series 66. Kerri is also a Registered Principal in the state of New York. Kerri is committed to providing her clients with the highest level of service and expertise.

Firm Information

Kerri Cain is currently registered with Guggenheim Investor Services, LLC. Guggenheim Investor Services, LLC is a Limited Liability Company formed in 2001. The firm is registered with the SEC and is also registered in 13 states, including California, Connecticut, Hawaii, Illinois, Louisiana, Missouri, Montana, New York, Oregon, Pennsylvania, Rhode Island, Texas, and Wyoming.

Not reported

Assets Under Management

Not reported

Total Clients

2

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.

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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Kerri Cain’s Registration & Firm History

NY

06/12/2023 - Present

Guggenheim Investor Services, LLC (NEW YORK NY)

NY

05/16/2023 - 11/22/2023

GUGGENHEIM FUNDS DISTRIBUTORS, LLC (NEW YORK NY)

NY

03/24/2016 - 05/18/2023

GUGGENHEIM SECURITIES, LLC (NEW YORK NY)

NJ

03/08/2014 - 08/18/2015

MILLINGTON SECURITIES, INC. (RED BANK NJ)

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Licenses & Designations

BOTH

Issued 06/23/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/26/2023

Series 14 - Compliance Officer Examination

BC

Issued 07/05/2023

Series 24 - General Securities Principal Examination

BC

Issued 03/07/2014

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/16/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kerri E Cain.
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