Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Pamela? Claim Your ProfilePamela Cain is an active investment advisor representative registered with Morgan Stanley. Pamela has been in the industry since 2002. Previously, Pamela was a registered representative with UBS Financial Services Inc., Morgan Stanley and Citigroup Global Markets Inc. Pamela has a wide range of experience in the financial services industry, providing financial planning, portfolio management, and other advisory services to individual and institutional clients.
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.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
IL
03/11/2020 - Present
Morgan Stanley (Deerfield IL)
IL
11/27/2012 - 04/05/2016
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
IL
06/01/2009 - 11/20/2012
MORGAN STANLEY (CHICAGO IL)
IL
08/17/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (DEERFIELD IL)
IL
01/17/2002 - 08/09/2006
MORGAN STANLEY DW INC. (CHICAGO IL)
BOTH
Issued 12/18/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/28/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/15/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/02/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/2009
Series 3 - National Commodity Futures Examination
BC
Issued 01/16/2002
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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