Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Cain is an investment advisor representative currently associated with Kovack Advisors, Inc.. Thomas Cain has been in the securities industry since March 14, 1987. Thomas Cain is licensed to conduct investment advisory services in Virginia. Thomas Cain is a registered representative with FINRA and a registered investment adviser in Virginia. Thomas Cain also has experience working for other financial institutions, including PROSPERA FINANCIAL SERVICES, INC., UBS FINANCIAL SERVICES INC. and FIRST UNION CAPITAL MARKETS CORP..
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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2
VA
07/13/2018 - Present
Kovack Advisors, Inc. (Richmond VA)
NC
07/05/2011 - 06/08/2017
CAPITAL GUARDIAN, LLC (CHARLOTTE NC)
VA
01/18/2011 - 07/05/2011
PROSPERA FINANCIAL SERVICES, INC. (RICHMOND VA)
VA
07/10/2009 - 12/31/2010
PROSPERA FINANCIAL SERVICES, INC. (RICHMOND VA)
VA
09/17/1999 - 08/03/2009
UBS FINANCIAL SERVICES INC. (RICHMOND VA)
NC
02/26/1987 - 09/30/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
BC
Issued 04/09/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/23/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/28/2000
Series 3 - National Commodity Futures Examination
BC
Issued 02/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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