Holly Cain
Holly Cain is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Upper Arlington, OH, with 21 years of industry experience. Holly operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
NMIS does not manage accounts directly for individual clients. NMIS provides referral services to other investment advisors and fixed income advice to other investment advisors.
Location
1349 W Lane Ave, Ste 1200, Upper Arlington, OH, 43221
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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 Activities
Holly is a board member and treasurer for The Berkentine Condominium HOA, overseeing financial statements and the annual budget. She also serves as Vice President of the HOA. These activities require minimal time.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Northwestern Mutual Investment Services, LLC
Previous Registrations
Royal Alliance Associates, INC.Broker
State Registrations51 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.