Thomas Spessard Cain

Employer firm

Kovack Advisors, Inc. CRD 140808

$6.28B regulatory AUM 205 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers

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

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

Current Employers

Employment History

• 06/2011 → 05/2017
  Capital Guardian, Llc
  Richmond, VA
• 06/2011 → Present
  Capital Guardian Wealth Management, Llc
  Richmond, VA
• 06/2011 → Present
  Capital L Group, Llc
  Charlotte, NC
• 05/2017 → Present
  Kovack Securities, Inc.
  Fort Lauderdale, FL

Previous Registrations

• 2011-07-05 → 2018-07-13
  Capital Guardian Wealth Management, Llc
  Richmond, VA
• 2011-01-27 → 2011-07-05
  Prospera Financial Services, Inc.
  Dallas, TX
  Richmond, VA
• 1999-11-09 → 2009-08-03
  Ubs Financial Services Inc.
  Richmond, VA
  Richmond, VA
  Weehawken, NJ
  Richmond, VA

Other Businesses

1) VCU FOUNDATION & CHILDREN'S HOSPITAL, BOARD OF DIRECTORS, NO COMPENSATION, NOT INVESTMENT RELATED, 2 HOURS PER QUARTER, NOT DURING TRADING HOURS. 2) TEACHING/COACHING TENNIS - RICHMOND, VA 23221; TEACHING AND COACHING TENNIS JUNIORS AND ADULTS; 2-3 HRS PER WEEK. 3) INSURANCE AND VARIABLE ANNUITY, 416 W. FRANKLIN STREET, RICHMOND, VA 23220; AGENT; SELL INSURANCE; NON-INVESTMENT RELATED BUSINESS; 3% OF TIME SPENT

Exams

• S63 Uniform Securities Agent State Law Examination
  1987-04-09

Other Names

• Tom Cain