Neil Arthur Cain

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2015 → Present
  Lpl Financial
  Towson, MD
• 03/2015 → Present
  Capital Financial Planners
  Towson, MD

Previous Registrations

• 2009-06-19 → 2015-01-30
  Next Financial Group, Inc.
  Bethesda, MD
• 2007-11-20 → 2008-12-09
  Householder Group, Estate & Retirement Specialists
  Bethesda, MD
• 2007-01-08 → 2007-10-08
  Citigroup Global Markets Inc.
  Washington, DC

Other Businesses

1. 01/30/2015 - NAC LLC/ REAL ESTATE RENTAL/ 3%/ BETHESDA, MD 2. 01/30/2015 - RENTAL PROPERTY/ REAL ESTATE RENTAL/ 0%/ BALTIMORE, MD 3. 01/30/2015 - RENTAL PROPERTY/ REAL ESTATE RENTAL/ 1%/ MIAMI BEACH, FL 4. 03/02/2015 - CAPITAL FINANCIAL PLANNERS -DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - TIME SPENT 6 HOURS PER MONTH - TOWSON, MD 5. 10/17/2022 - No Business Name - Not Investment Related - 10067 Fox Trotter Lane, Midland NC 28107 - Other-Wedding/baby shower - Start Date: 09/01/2022 - 10 Hours Per Month/0 Hours During Securities Trading- Maker of wedding and baby shower decorations. 6. 1/26/2023 - Capital Tax Planners - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Owner - Start Date - 03/01/2023 - 1 Hours Per Month/0 Hours During Securities Trading 7. 11/13/2023 - RETFED - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/06/2023 - 3 Hours Per Month/ During Trading

Exams

• S66 Uniform Combined State Law Examination
  2006-12-12

Designations

• Certified Financial Planner

Other Names

• Neil Cain