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CFP

Stephen Cain

Kovack Advisors, INC.
25 Years of Experience
Marietta, GA
BrokerSells Insurance
View SEC Summary
View SEC Summary

Stephen Cain is a CFP-designated registered investment advisor at Kovack Advisors, INC., based in Marietta, GA, with 25 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 13,293 clients with $6.3B in assets under management.

Kovack Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
258 advisors
Number of Clients
13,293 clients
Average Client Portfolio
$472K average
Assets Under Management
$6.3B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.90%

Maximum annual fee is 2.90%. Fees are negotiable depending on asset amount, type, complexity, and services provided. Combined fees with third-party managers will not exceed 2.90%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

255 Village Parkway, Suite 210, Marietta, GA, 30067

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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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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.
April 2015 - Present · 11 yrs 6 mos
Kovack Securities INC.Broker
October 2014 - Present · 12 yrs
Previous Registrations
Lindner Capital Advisors, INC.
September 2008 - July 2017 · 8 yrs 10 mos
Resource Horizons Group LLCBroker
May 2008 - October 2014 · 6 yrs 5 mos
Fidelity Brokerage Services LLCBroker
September 1999 - June 2006 · 6 yrs 9 mos
State Registrations11 states
ALARFLGAIDILMINCNYTXVA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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