Wendy Cain
Wendy Cain is a registered investment advisor at Founders Financial Alliance, LLC, based in Albuquerque, NM, with 40 years of industry experience. Wendy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 3,918 clients with $1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fees are negotiable up to 2%.
Fee Estimator
Location
9400 Holly Avenue, NE Bldg 4, Albuquerque, NM, 87122
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Wendy operates her LPL business under the DBA Western Community Financial since 2011. She also provides investment advisory services through Founders Financial Alliance, dedicating about half her time to this activity, and owns rental real estate property, spending a few hours per week on it.
Employment History
Current Registrations
Founders Financial Alliance, LLC
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
Morgan Stanley
Morgan Stanley Dw INC.Broker
Financial Investors Securities CorporationBroker
State Registrations14 states
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