Joseph Cain
Joseph Cain is a registered investment advisor at Osaic Advisory Services, LLC, based in Bardonia, NY, with 31 years of industry experience. Joseph 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, Investment Management, and 1 more. Their firm serves 28,410 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Advisors offers investment management through several programs:
- Ally Account: Fees are negotiable, with a maximum annual fee of 2.50%. Transaction charges apply.
- Counsel Account: Fees are negotiable, with a maximum annual fee of 2.50%. This is a wrap account, so the fee covers both advice and transactions.
- Partner Program: Access to third-party managers with varying fees. Osaic either receives a portion of the fee or charges a separate consulting fee.
- Plan Participant Retirement Program: Maximum 3% annual fee, either fixed or tiered, based on assets in your retirement plan account.
Location
275 Route 304, Suite 100, Bardonia, NY, 10954
Get directionsHistory
Regulatory History (1)
Customer Dispute
April 2004Other Business Activities
Joseph is the proprietor/website administrator for www.sidegig.com, dedicating minimal time. He is also the proprietor of Finest Financial Group, providing tax preparation services, and involved in Joseph Cain Executive Protection, both non-securities related activities.
Employment History
Current Registrations
Osaic Advisory Services, LLC
Osaic Wealth, INC.Broker
Previous Registrations
Osaic Wealth, INC.
American Portfolios Advisors, INC
American Portfolios Financial Services, INC.Broker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
First Security Investments, INC.Broker
Northeast Securities, INC.Broker
Corporate Securities Group, INC.Broker
Montano Securities CorporationBroker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations6 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.