BC
BC

Brian Cain

28 Years of Experience
Woodbury, NY
Broker

Brian Cain is a registered investment advisor at Raymond James & Associates, INC., based in Woodbury, NY, with 28 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B

Fee Structure

Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location

135 Crossways Park Drive, Suite 104, Woodbury, NY, 11797

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History

Regulatory History
Clean regulatory record

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.

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Employment History
Current Registrations
Raymond James & Associates, INC.
February 2021 - Present · 5 yrs 3 mos
Raymond James & Associates, INC.Broker
January 2021 - Present · 5 yrs 4 mos
Previous Registrations
UBS Financial Services INC.
April 2006 - January 2021 · 14 yrs 9 mos
UBS Financial Services INC.Broker
September 1999 - January 2021 · 21 yrs 4 mos
Dean Witter Reynolds INC.Broker
September 1997 - August 2000 · 2 yrs 11 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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Exams
No exam information available for this advisor.