Best Investors Account Sign in

Brian Thomas Cain

Raymond James & Associates, Inc.

Woodbury, NY

Paramus, NJ

Claim This Profile
Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2021-02-18
  • NJ RA
    APPROVED
    Since 2021-02-18

Branch Locations

135 Crossways Park Drive Suite 104, Woodbury, NY 11797 • United States

61 South Paramus Road Suite 360, Paramus, NJ 07652 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc New York NY 06/2015 12/2020
Raymond James And Associates, Inc Morristown NJ 12/2020 11/2022
Raymond James & Associates, Inc. Paramus NJ 11/2022 Present
Raymond James & Associates, Inc. Woodbury NY 11/2022 Present
Previous Registrations
  • 2006-04-18 → 2021-01-08
    Ubs Financial Services Inc.
    New York, NY
    New York, NY
    Mt. Laurel, NJ
    Paramus, NJ
    Paramus, NJ
    Weehawken, NJ
    Paramus, NJ
    Greenwich, CT
    New York, NY
    Weehawken, NJ
    Weehawken, NJ
    Weehawken, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-10
S63 Uniform Securities Agent State Law Examination 1997-09-30
  • S65 Uniform Investment Adviser Law Examination
    1997-10-10
  • S63 Uniform Securities Agent State Law Examination
    1997-09-30
Other Names
  • Brian T Cain
  • Brian Thomas Cain

View on SEC IAPD

Other Firms

VANDERBILT ADVISORY SERVICES
CONSOLIDATED PORTFOLIO REVIEW CORP
FUSION FAMILY WEALTH, LLC
MML INVESTORS SERVICES, LLC
WELLS FARGO CLEARING SERVICES, LLC
MG PLANNING SERVICES, INC.
TRIDENT ADVISORS LLC
HERITAGE ADVISORY LLC

Other Investors

BRETT IAN GOLDSTEIN
AARON DELSIGNORE
PHILIP MICHAEL SCHOLLER
DAVID PATRICK STEWART
BRADLEY ALLEN COHEN
JEREMY ROUSE BROWN
CHAD NEAULT
CRAIG ROBERT WALKER

Other Offices

VANDERBILT ADVISORY SERVICES · WOODBURY, NY
CONSOLIDATED PORTFOLIO REVIEW CORP · WOODBURY, NY
FUSION FAMILY WEALTH, LLC · WOODBURY, NY
MML INVESTORS SERVICES, LLC · Woodbury, NY
WELLS FARGO CLEARING SERVICES, LLC · WOODBURY, NY
MML INVESTORS SERVICES, LLC · Woodbury, NY
MG PLANNING SERVICES, INC. · WOODBURY, NY
TRIDENT ADVISORS LLC · WOODBURY, NY

More in Woodbury, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor