Stephen Michael Cain

Current Employers

Kovack Advisors, Inc.

6451 N. Federal Hwy Suite 1201, Ft. Lauderdale, FL 33308 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-04-14
FL	RA	APPROVED	2015-06-12
GA	RA	APPROVED	2015-04-27

TX RA
APPROVED

Since 2020-04-14
FL RA
APPROVED

Since 2015-06-12
GA RA
APPROVED

Since 2015-04-27

Branch Locations

255 Village Parkway Suite 210, Marietta, GA 30067 • United States

6451 N. Federal Hwy Suite 1201, Ft. Lauderdale, FL 33308 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lindner Capital Advisers, Inc.	Marietta	GA	01/2007	Present
Kovack Securities Inc.	Marietta	GA	10/2014	Present
Kovack Advisors, Inc.	Fort Lauderdale	FL	04/2015	Present

01/2007 → Present

Lindner Capital Advisers, Inc.

Marietta, GA
10/2014 → Present

Kovack Securities Inc.

Marietta, GA
04/2015 → Present

Kovack Advisors, Inc.

Fort Lauderdale, FL

Previous Registrations

2008-09-25 → 2017-07-18

Lindner Capital Advisors, Inc.

Atlanta, GA

Other Businesses

1) DBA - ROCKBRIDGE FINANCIAL GROUP - 255 VILLAGE PARKWAY NE, SUITE 210, MARIETTA, GA 30067; START DATE MARCH 31, 2026; INVESTMENT RELATED, FINANCIAL SERVICES; PRINCIPAL; 175 HOURS/MONTH DEVOTED TO OTHER BUSINESS; 140 HOURS/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS. 2)INSURANCE - AGENT FOR NUMEROUS VARIABLE, FIXED, & LIFE INSURANCE COMPANIES

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-08-18
S63	Uniform Securities Agent State Law Examination	1999-09-30

S65 Uniform Investment Adviser Law Examination

2007-08-18
S63 Uniform Securities Agent State Law Examination

1999-09-30

Designations

Other Names

Stephen Michael Cain
Stephen Michael Cain
Stepen Michael Cain

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