Stephen Cain
Stephen Cain is a CFP-designated registered investment advisor at Kovack Advisors, INC., based in Marietta, GA, with 24 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 14,305 clients with $5.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Kovack Advisors charges an annual fee based on a percentage of the value of your investments. The maximum annual fee is 2.90%. Fees are negotiable and may be calculated as a flat percentage or on a tiered schedule. Fees are billed quarterly or monthly in advance. You are responsible for brokerage commissions and other transactional costs unless your advisor negotiates to cover ticket charges, which may result in a higher overall advisory fee.
Location
255 Village Parkway, Suite 210, Marietta, GA, 30067
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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 ActivitiesSells Insurance
Stephen is involved with Warnick and Cain LLC, providing financial planning and investment management services since 2011, dedicating full-time hours to this activity. Stephen is also an insurance agent for numerous variable, fixed, and life insurance companies.
Employment History
Current Registrations
Kovack Advisors, INC.
Kovack Securities INC.Broker
Previous Registrations
Lindner Capital Advisors, INC.
Resource Horizons Group LLCBroker
Fidelity Brokerage Services LLCBroker
State Registrations11 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.