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Scott M Cain

Morgan Stanley

San Diego, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-09-05
TX RA APPROVED 2023-09-01
  • CA RA
    APPROVED
    Since 2023-09-05
  • TX RA
    APPROVED
    Since 2023-09-01

Branch Locations

4350 La Jolla Village Drive Suite 1000, San Diego, CA 92122 • 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
J.P. Morgan Securities Llc San Diego CA 10/2012 09/2023
Mia Bambina Photography Inc. San Diego CA 06/2014 06/2021
Morgan Stanley Smith Barney Llc San Diego CA 09/2023 Present
Morgan Stanley Private Bank, N.A New York NY 09/2023 Present
  • 10/2012 → 09/2023
    J.P. Morgan Securities Llc
    San Diego, CA
  • 06/2014 → 06/2021
    Mia Bambina Photography Inc.
    San Diego, CA
  • 09/2023 → Present
    Morgan Stanley Smith Barney Llc
    San Diego, CA
  • 09/2023 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2012-10-01 → 2023-09-02
    J.P. Morgan Securities Llc
    La Mesa, CA
    San Diego, CA
    La Mesa, CA
  • 2009-05-02 → 2012-10-01
    Chase Investment Services Corp.
    San Diego, CA
    La Mesa, CA
    San Diego, CA
    La Mesa, CA
  • 2007-01-31 → 2009-05-02
    Wamu Investments, Inc.
    La Mesa, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-01-27
S63 Uniform Securities Agent State Law Examination 2004-11-02
  • S65 Uniform Investment Adviser Law Examination
    2007-01-27
  • S63 Uniform Securities Agent State Law Examination
    2004-11-02
Other Names
  • Scott Martin Cain

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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