Michael S. Cain

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CRD#: 2131358

Professional summary

Michael Sean Cain was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Michael had worked at 4 firms, which includes MORGAN STANLEY, MORGAN KEEGAN & COMPANY LLC, A. G. EDWARDS & SONS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 20, 2009 - October 5, 2012

MORGAN STANLEY

RIA

CRD#: 149777

GRIFFIN, GA

Past

November 20, 2009 - October 5, 2012

MORGAN STANLEY

CRD#: 149777

GRIFFIN, GA

Past

November 11, 2004 - November 24, 2009

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

GRIFFIN, GA

Past

November 11, 2004 - November 24, 2009

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

GRIFFIN, GA

Past

March 17, 2003 - November 30, 2004

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

GRIFFIN, GA

Past

October 25, 1995 - November 30, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

March 25, 1991 - October 30, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/30/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 8/31/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/22/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 12/6/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

2000 Westchester Avenue, Purchase, NY 10577-2530

Mailing Address

1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231

Phone number

(914) 225-1000

Established

Delaware since 02/02/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

29,200

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRIVATE WEALTH MANAGEMENT CONSULTING SERVICES PROGRAM BROCHURE (11/6/2025)

PORTFOLIO MANAGEMENT AND INSTITUTIONAL CASH ADVISORY PROGRAM BROCHURE (10/24/2025)

SELECT UMA PROGRAM BROCHURE (10/24/2025)

FINANCIAL PLANNING SERVICES PROGRAM BROCHURE (10/22/2025)

CONSULTING GROUP ADVISOR PROGRAM BROCHURE (10/17/2025)

SEPARATE MANAGED ACCOUNT WRAP PROGRAM BROCHURE (10/17/2025)

SEPARATE MANAGED ACCOUNT COMMISSION-BASED PROGRAM BROCHURE (10/17/2025)

INSTITUTIONAL SERVICES PROGRAM BROCHURE (3/28/2025)

MORGAN STANLEY CORE PORTFOLIOS (3/28/2025)

ALTERNATIVE INVESTMENTS WRAP PROGRAM BROCHURE (3/28/2025)

ACCESS INVESTING PROGRAM BROCHURE (3/28/2025)

OUTSOURCED CHIEF INVESTMENT OFFICE (OCIO) (3/28/2025)

GRAYSTONE CONSULTING PROGRAM BROCHURE (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
MORGAN STANLEY CAPITAL MANAGEMENT, LLC	MEMBER
CROWE, JOHN WILLIAM	CHIEF FINANCIAL OFFICER	5475007
FINN, JED	DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER	5658048
FLETCHER, PATRICIA KAY	TEXAS DESIGNATED PRINCIPAL	1202060
GALASSO, DAVID ANTHONY	PRINCIPAL OPERATIONS OFFICER	1926502
GIVENS, WILLIAM BENJAMIN	CHIEF COMPLIANCE OFFICER (BD ONLY)	2790454
HANSEN, TIMOTHY GERARD	CHIEF COMPLIANCE OFFICER (IA ONLY )	4956475
HENNESSY, MICHAEL S	DIRECTOR	1988660
JANOVER, JAMES TROY	DIRECTOR	2818307
TURNER, CHAD EDWARD	DIRECTOR	6009808

Regulatory assets under management

Total Number of Accounts	2,539,760
AUM (Assets Under Management)	$ 1,650,015,946,338

Disclosures

Regulatory Event	66
Arbitration	115

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/20/2025	Cover Page	Report
07/23/2024	Cover Page	Report
08/24/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael S. Cain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/1994

Series 63

Date: 4/19/1991

Series 31

Date: 8/31/2005

Series 7

Date: 3/22/1991

Series 8

Date: 12/6/1996

Current Firm

MORGAN STANLEY

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MORGAN STANLEY

TRUST BUT VERIFY

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