Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Cain is a financial advisor with over 19 years of experience in the financial services industry. Scott is currently registered with Morgan Stanley, where Scott provides financial advice to a diverse clientele. Scott is also registered in 36 states and 2 jurisdictions as a broker-dealer and investment advisor. Scott holds Series 7, 63, and 65 licenses. Scott specializes in asset allocation advice, financial planning, pension consulting, and portfolio management. Scott has a proven track record of success in helping individuals and families achieve their financial goals.
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
CA
09/01/2023 - Present
Morgan Stanley (San Diego CA)
CA
10/01/2012 - 09/02/2023
J.P. MORGAN SECURITIES LLC (SAN DIEGO CA)
CA
05/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SAN DIEGO CA)
CA
10/13/2004 - 05/02/2009
WAMU INVESTMENTS, INC. (SAN DIEGO CA)
IA
Issued 01/27/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/02/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/2004
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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