Robert D. Cain
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Duncan Cain, who also goes by Bob Cain, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 11 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2006 - December 31, 2007
PROTECTED INVESTORS OF AMERICA
August 5, 2004 - October 31, 2005
FOOTHILL SECURITIES, INC.
January 6, 2004 - July 22, 2004
NATIONS FINANCIAL GROUP, INC.
January 20, 2000 - December 19, 2003
ARCHER ALEXANDER SECURITIES CORPORATION
December 5, 1995 - January 28, 2000
BIRCHTREE FINANCIAL SERVICES LLC
November 15, 1989 - December 30, 1995
WALDRON & CO., INC.
January 5, 1989 - October 7, 1989
A. F. INVESTMENTS, INC.
July 29, 1987 - October 20, 1988
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
July 16, 1986 - May 26, 1987
PAMCO SECURITIES AND INSURANCE SERVICES
March 7, 1983 - June 24, 1986
PRUCO SECURITIES, LLC.
August 12, 1982 - January 21, 1983
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PROTECTED INVESTORS OF AMERICA
CRD#: 6082 / SEC#: 801-10299, 8-218
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARMSTEAD FAMILY TRUST UA DTD | SHAREHOLDER | |
| ARMSTEAD, JOHN THOMAS | CHAIRMAN | 1048109 |
| BUCHFINCK, RITA KAY | SHAREHOLDER | 869008 |
| DREIZLER FAMILY TRUST | SHAREHOLDER | |
| FORD, IRVING MARTYN | SHAREHOLDER | 211057 |
| KOBE FAMILY TRUST (DATED 11-22-2004) | SHAREHOLDER | |
| NASSTROM TRUST | SHAREHOLDER | |
| ARMSTEAD, JOHN THOMAS | TRUSTEE OF ARMSTEAD FAMILY TRUST UA DTD | 1048109 |
| CALVELLI, MICHAEL J | DIRECTOR | 1237708 |
| DREIZLER, ROBERT LAURIE | TRUSTEE OF DREIZLER FAMILY TRUST | 867308 |
| DREIZLER, SONYA BROOKE | PRESIDENT / CEO / FINOP | 4754721 |
| JOHNSON, HEIDI ANN | CHIEF COMPLIANCE OFFICER | 2443764 |
| KOBE, DAVID HOWARD | TRUSTEE OF KOBE FAMILY TRUST (DATED 11-22-2004) | |
| KOBE, DAVID HOWARD | DIRECTOR/TREASURER | 1052144 |
| NASSTROM, SHARON SOLOMON | DIRECTOR/SECRETARY | 2898387 |
| NASSTROM, SHARON SOLOMON | TRUSTEE OF NASSTROM TRUST | 2898387 |
| RUST, MARGARET RUBEY | DIRECTOR | 2282941 |
| TUEMMLER, LISA DENISE | DIRECTOR | 4642373 |
Disclosures
| Regulatory Event | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
