Ellene B. 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.
Ellene Brand Cain, who also goes by Cain Brand, Ellene M Brand, Ellene Marcia Brand, was a registered financial professional .
Ellene is a previously registered financial professional and started their career in finance in 1984. Ellene had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 1997 - June 24, 2016
FOOTHILL SECURITIES, INC.
July 25, 1985 - June 24, 2016
FOOTHILL SECURITIES, INC.
April 18, 1984 - June 4, 1985
LPL FINANCIAL LLC
State Registrations and Notice Filings
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Exams
Current Firm
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
