Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Lawrence Cain is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. William has been in the financial services industry since 1985. William has passed the Series 6, Series 7 and Series 63 exams as well as the SIE and Series 65 exams. William's registration status is currently active and he has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2007. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc. William was with Morgan Stanley DW Inc. and Pruco Securities Corporation.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
PA
07/27/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (EXTON PA)
PA
04/02/2007 - 08/02/2007
MORGAN STANLEY & CO., INCORPORATED (WEST CHESTER PA)
PA
03/19/1999 - 04/02/2007
MORGAN STANLEY DW INC. (WEST CHESTER PA)
NY
03/07/1995 - 03/26/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
PA
11/01/1993 - 04/22/1995
INDEPENDENT FINANCIAL GROUP (PHOENIXVILLE PA)
CA
11/30/1992 - 11/24/1993
JACKSON NATIONAL FINANCIAL SERVICES, INC. (LOS ANGELES CA)
NJ
12/12/1983 - 07/16/1991
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 04/07/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/07/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/06/1995
Series 7 - General Securities Representative Examination
BC
Issued 11/21/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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