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Stephen Michael Cain

Kovack Advisors, Inc.

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About Stephen Michael Cain

Stephen Michael Cain is a financial advisor with Kovack Advisors, Inc. Stephen has been in the financial industry since August 13, 2001, and has experience providing investment advice to a variety of clients, including individuals, businesses, and institutions. Stephen is registered as an investment advisor representative in Florida, Georgia, and Texas. Stephen is also a Certified Financial Planner.

Firm Information

Stephen Cain is currently registered with Kovack Advisors, Inc.. Kovack Advisors, Inc. is an investment advisor headquartered in FT. LAUDERDALE, FL. The firm manages $4.29 billion in assets for a variety of clients, including high-net-worth individuals, corporations, individuals other than high-net-worth, and pension and profit-sharing plans. Kovack Advisors provides financial planning, portfolio management for businesses and individuals, and selection of other advisors. The firm employs 229 licensed agents and 300 investment adviser representatives. The firm's SEC number is 801-63048.
Kovack Advisors, Inc.

6451 N. FEDERAL HWY

FT. LAUDERDALE, FL 33308

$4.29B

Assets Under Management

1,602

Total Clients

264

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Stephen Cain’s Registration & Firm History

GA

04/14/2020 - Present

Kovack Advisors, Inc. (MARIETTA GA)

GA

05/21/2008 - 10/15/2014

RESOURCE HORIZONS GROUP LLC (MARIETTA GA)

OH

09/24/1999 - 06/30/2006

FIDELITY BROKERAGE SERVICES LLC (BLUE ASH OH)

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Licenses & Designations

IA

Issued 08/18/2007

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/30/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/23/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Michael Cain.
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