Joseph Patrick Cain

Employer firm

Osaic Advisory Services, LLC CRD 171070

$15.5B regulatory AUM 170 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 01/2004 → 10/2024
  American Portfolios Financial Services, Inc.
  Tarrytown, NY
• 10/2024 → Present
  Osaic Wealth, Inc.
  Scottsdale, AZ
• 10/2024 → Present
  Osaic Advisory Services
  Atlanta, GA

Previous Registrations

• 2015-01-22 → 2024-10-11
  American Portfolios Advisors, Inc
  Holbrook, NY

Other Businesses

1. PROPRIETOR/ WEBSITE ADMINISTRATOR- WWW.SIDEGIG.COM, PO BOX 1005, PEARL RIVER, NY 10965 (5 HOURS A MONTH) 2. PROPRIETOR OF FINEST FINANCIAL GROUP POSITION: Enrolled Agent NATURE: TAX PREPARATION INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2004 ADDRESS: 275 Route 304, Suite 100, Nanuet NY 10954, United States DESCRIPTION: Review tax returns 3. JOSEPH CAIN EXECUTIVE PROTECTION NON SECURITIES RELATED DEVOTES MINIMAL HRS PER MONTH; HRS DURING MARKET HRS VARY. 1/19/12

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-01-21
• S63 Uniform Securities Agent State Law Examination
  1994-03-14