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Michael Alan Cain

LPl Financial LLC

Yukon, OK

Oklahoma City, OK

Oklahoma City, OK

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2021-07-21
TX RA APPROVED 2021-07-21
  • OK RA
    APPROVED
    Since 2021-07-21
  • TX RA
    APPROVED
    Since 2021-07-21

Branch Locations

1601 Health Ctr Pkwy Bldg 300, Yukon, OK 73099 • United States

14604 Bogert Pkwy, Oklahoma City, OK 73134 • United States

701 Cedar Lake Blvd Ste 138, Oklahoma City, OK 73114 • 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
Waddell & Reed Inc Yukon OK 06/2018 07/2021
Various Insurance Carriers For W & R Insurance Agencies Oklahoma City OK 05/2019 07/2021
Nellie Green Yukon OK 05/2019 07/2021
Sams Club Midwest City OK 03/2001 07/2021
Lpl Financial Llc Edmond OK 07/2021 Present
  • 06/2018 → 07/2021
    Waddell & Reed Inc
    Yukon, OK
  • 05/2019 → 07/2021
    Various Insurance Carriers For W & R Insurance Agencies
    Oklahoma City, OK
  • 05/2019 → 07/2021
    Nellie Green
    Yukon, OK
  • 03/2001 → 07/2021
    Sams Club
    Midwest City, OK
  • 07/2021 → Present
    Lpl Financial Llc
    Edmond, OK
Previous Registrations
  • 2019-03-14 → 2021-07-21
    Waddell & Reed
    Edmond, OK
    Yukon, OK
    Edmond, OK
Other Businesses

1. 6/20/MICHAEL CAIN/Integrity Advisors Group/DBA for LPL Business (entity for LPL business)/Investment Related/0 HRS/MO/Yukon, OK

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-03-14
  • S66 Uniform Combined State Law Examination
    2019-03-14

View on SEC IAPD

Other Firms

AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
BOK FINANCIAL SECURITIES, INC.
ARVEST WEALTH MANAGEMENT
EDWARD JONES
STATE FARM INVESTMENT MANAGEMENT CORP.
IDEAL FINANCIAL PLANNING
CC INVESTMENT ADVISORS, INC.

Other Investors

DEIRDRE YVONNE BARNES
NELLIE KATHLEEN GREEN
DARREN LAYNE MEYER
EMILE ANTHONY RABITO
Christopher Michael McGill
Leitasha Rodriguez
Craig Richard Kitchen
DWIGHT DOUGLAS ADKINS

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · Yukon, OK
J.P. MORGAN SECURITIES LLC · YUKON, OK
BOK FINANCIAL SECURITIES, INC. · YUKON, OK
ARVEST WEALTH MANAGEMENT · YUKON, OK
EDWARD JONES · YUKON, OK
STATE FARM INVESTMENT MANAGEMENT CORP. · Yukon, OK
LPL FINANCIAL LLC · YUKON, OK
EDWARD JONES · YUKON, OK

More in Yukon, OK

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