Holly M. Cain

Current Employers

Employment History

• 12/2007 → Present
  Joseph C. Nill
  Columbus, OH
• 12/2007 → Present
  Northwestern Mutual Investment Services, Llc
  Columbus, OH

Other Businesses

1. TREASURER NONPROFIT, 5011 CORNICE CT, GALENA, , OHIO, 43021, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 12/07/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TREASURER, THE BERKENTINE CONDOMINIUM FOR VACATION PROPERTY IN MI, HOA HAS 3RD PARTY PROPERTY MANAGEMENT COMPANY TO HANDLE ALL MONEY & I DO NOT HAVE ACCESS TO ACCOUNTS AND/OR SIGNING POWER ON CHECKS NOR HAVE SOLE DECISION-MAKING AUTHORITY ON INVESTMENTS. DUITIES INCLUDE AN "AUDIT CAPACITY", OVERSEEING MONTHLY FINANCIAL STATEMENTS, ANNUAL BUDGET TO ENSURE IT IS ON TRACK AND ACCURATE. NON-INVESTMENT RELATED. 2. VICE PRESIDENT, HOA FOR THE BARKENTINE CONDOMINIUM, 5011 CORNICE CT, GALENA, , OHIO, 43021, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 12/7/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, WE OWN A VACATION PROPERTY IN MI AND THE HOA HAS ASKED ME TO SERVE AS TREASURER. WE HAD A ZOOM MEETING TODAY (12/5/22) TO DISCUSS WHAT THE ROLE WOULD ENTAIL. THEY JUST HIRED A 3RD PARTY PROPERTY MANAGEMENT COMPANY TO HANDLE MUCH OF THE ADMINISTRATIVE AND WOULD HANDLE THE INTAKE & OUTTAKE OF MONEY. I WOULD NOT HAVE ACCESS TO ACCOUNTS AND/OR SIGNING POWER ON CHECKS. I WOULD BASICALLY BE IN AN "AUDIT CAPACITY", OVERSEEING MONTHLY FINANCIAL STATEMENTS, ANNUAL BUDGET TO ENSURE IT IS ON TRACK AND ACCURATE. THEY DID NOTE THAT IF WE WOULD FOR ANY REASON IN THE FUTURE TERMINATE THE 3RD PROPERTY MANAGEMENT COMPANY, MY ROLE COULD CHANGE IN TAKING ON MORE ITEMS. HOWEVER, I EXPLAINED THAT PER FINRA OBA RESTRICTIONS, I WOULD BE UNABLE TO PARTICIPATE IN DECISIONS INVOLVING INVESTMENTS, LENDING, WOULD NEED TO ABSTAIN FROM ANY VOTE OR DECISIONS RELATING TO NM PRODUCTS (WHICH SHOULDN'T APPLY), AND COULD NOT HAVE SOLE MAKING AUTHORITY FOR THE ORG'S FINANCIAL MATTERS. I WOULD HAVE TO VOTE ON INVESTMENTS AS PART OF THE LARGER GROUP. THE ONLY INVESTMENT THAT WOULD APPLY MAY BE SHORT TERM CDS WHICH I WOULD NOT ADVISE ON AND MERELY VOTE AS PART OF A LARGER GROUP. IF ANYTHING CHANGES WITH MY ROLE SHOULD THE 3RD PARTY PROPERTY BE TERMINATED DOWN THE ROAD, I WOULD CIRCLE BACK TO DISCLOSE ANY CHANGES TO ROLE TO ENSURE ALLOWABLE.

Exams

• S66 Uniform Combined State Law Examination
  2008-02-27

Other Names

• Holly Marie Schumacher
• Holly Marie Cain