MC
Michael A. Cain
VOYA FINANCIAL ADVISORS
OMAHA, NE 68154
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CRD#: 1874969
MC
Professional summary
Michael Alan Cain, who also goes by Michael A Cain, Mike Cain, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Omaha, Nebraska.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael A Cain | Mike Cain
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
INDEPENDENT INSURANCE AGENT POSITION: INDEPENDENT INSURANCE AGENT NATURE: FIXED INSURANCE SALES INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/13/2011 ADDRESS: 14301 FNB Parkway, Suite 203, Omaha NE 68154, United States DESCRIPTION: SALES OF FIXED INSURANCE PRODUCTS
CRS (Client Relationship Summary) - RIA
Click below to view Michael Alan Cain's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Alan Cain's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 14301 Fnb Parkway Ste 203, Omaha, NE 68154RIA
BD
CRD#: 2882
OMAHA, NE
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 14301 Fnb Parkway Ste 203, Omaha, NE 68154RIA
BD
CRD#: 2882
OMAHA, NE
Past
August 12, 2002 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
OMAHA, NE
Past
October 15, 1993 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
OMAHA, NE
Past
October 19, 1988 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/3/2011)
RR
Arkansas(9/8/2011)
RR
California(3/18/2011)
RR
Colorado(1/3/2011)
RR
Florida(11/10/2014)
RR
Georgia(5/5/2025)
RR
Illinois(6/20/2023)
RR
Iowa(1/3/2011)
RR
Kansas(1/3/2011)
RR
Kentucky(3/8/2019)
RR
Michigan(9/10/2024)
RR
Minnesota(1/3/2011)
RR
Missouri(1/3/2011)
RR
Montana(5/11/2021)
RR
Nebraska(1/3/2011)
IAR
Nebraska(1/3/2011)
RR
Nevada(11/14/2022)
RR
South Dakota(1/3/2011)
RR
Tennessee(5/10/2013)
RR
Texas(1/3/2011)
IAR
Texas(4/29/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
Company Information
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882Omaha, NE 68154TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
