Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Simon? Claim Your ProfileSimon Alexander Cain is a financial advisor with Vanguard Advisers, Inc. Simon has been in the financial services industry since 2007 and has a broad range of experience in investment management. Simon has held positions with a variety of firms, including Edward Jones, USAA Financial Advisors, Inc., and J.P. Morgan Securities LLC. Simon is registered with the state of Arizona as both a Broker-Dealer and Investment Advisor Representative. Simon is also registered as an Investment Advisor Representative with the state of Texas. Simon has a strong track record of success in providing financial advice to individuals and families. Simon is committed to helping clients 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.
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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AZ
08/19/2021 - Present
Vanguard Advisers, Inc. (Scottsdale AZ)
AZ
02/09/2017 - 03/15/2021
EDWARD JONES (TEMPE AZ)
AZ
01/08/2013 - 09/08/2016
USAA FINANCIAL ADVISORS, INC. (PHOENIX AZ)
AZ
10/01/2012 - 01/02/2013
J.P. MORGAN SECURITIES LLC (SCOTTSDALE AZ)
AZ
10/21/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SCOTTSDALE AZ)
AZ
02/18/2010 - 01/10/2011
WELLS FARGO INVESTMENTS, LLC (PHOENIX AZ)
AZ
12/17/2007 - 03/27/2009
CHARLES SCHWAB & CO., INC. (PHOENIX AZ)
BOTH
Issued 06/12/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/19/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/13/2021
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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