Benjamin Terrell Cain
Professional Summary
Benjamin Terrell Cain is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Edmonds, Washington. Benjamin is registered as a RR (Registered Representative) and started their career in finance in 1970. Benjamin has worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
56 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
1ST RATE WEALTH MANAGEMENT (BRANCH MANAGER - MIKE PEAT) | DEREMER AGENCY (BRANCH MANAGER - DANIEL DEREMER) | DEPREZ FINANCIAL SERVICES | DENALI WEALTH MANAGEMENT | DELEGGE FINANCIAL SERVICES, INC. | D. D. CARLSON FINANCIAL GROUP, INC. | CZUKAS, MCCALL & ASSOCIATES - JOHN CZUKAS | CZUKAS, MCCALL & ASSOCIATES - ANDREW SALEMME | CZUKAS, MCCALL & ASSOCIATES (BRANCH MANAGER - JOSEPH CZUKAS) | CZUKAS, MCCALL & ASSOC., INC. | CRUBEL FINANCIAL SERVICES (BRANCH MANAGER - DOUG CRUBEL) | CRISPIGNA FINANCIAL SERVICES - PHILLIP PETERSEN | CRISPIGNA FINANCIAL SERVICES - OWEN DEPREZ | CRISPIGNA FINANCIAL SERVICES - KACY ALLEN | CRISPIGNA FINANCIAL SERVICES - GERARD DEPREZ | CRISPIGNA FINANCIAL SERVICES - BRIAN CRISPIGNA | CRISPIGNA FINANCIAL SERVICES (BRANCH MANAGER - STEVE CRISPIGNA) | CREATIVE WEALTH PARTNERS, LLC (BRANCH MANAGER - GEORGE ZECK) | CORNERSTONE WEALTH MANAGEMENT PARTNERS, LLC - BRADLEY SAURBAUGH | CORNERSTONE WEALTH MANAGEMENT PARTNERS, LLC (BRANCH MANAGER - JOHN MICHALAK) | CORNERSTONE WEALTH MANAGEMENT (BRANCH MANAGER - JOSHUA RYAN) | CORNERSTONE FINANCIAL PLANNING - NOAH TRUMPY | CORNERSTONE FINANCIAL PLANNING (BRANCH MANAGER - KEITH WICKLUND) | COORDINATED FINANCIAL SERVICES | CONFER FINANCIAL SERVICES | CLEARSTEP FINANCIAL - CASSANDRA BRASHIER | CLEARSTEP FINANCIAL - ADAM HUB | CLEARSTEP FINANCIAL (BRANCH MANAGER - CARLA ZEVNIK SEUFZER) | CHARLES DAVID LANDIS | CBB INVESTMENT CENTER | CATANZARITE FINANCIAL SERVICES - ANTHONY CATANZARITE | CATANZARITE FINANCIAL SERVICES (BRANCH MANAGER - JOE CATANZARITE) | CASTLE FINANCIAL, LLC - TODD THOMPSON | CASTLE FINANCIAL, LLC - JESSE MELICHAR | CARRIE L. COLE | CAPSTONE FINANCIAL ADVISORS | CAPITOL SOLUTIONS, INC. | CAPITAL WEALTH ADVISORS LTD | CAPITAL SEASONS WEALTH MANAGEMENT - JOSH FLANDERS | CAPITAL SEASONS WEALTH MANAGEMENT - BARBARA WITTE | CAPITAL SEASONS WEALTH MANAGEMENT (BRANCH MANAGER - STEPHANIE EHR) | CAPITAL INVESTMENT SERVICES | CAPITAL FINANCIAL SERVICES | CAPITAL FINANCIAL GROUP (BRANCH MANAGER - DONALD GROSS) | CAMELBACK WEALTH MANAGEMENT - MEGAN WELLS | CAMELBACK WEALTH MANAGEMENT - JENNIFER GORALSKI | CAMELBACK WEALTH MANAGEMENT (BRANCH MANAGER - MARK HERDING) | CADE FINANCIAL SERVICES - TRAVIS GASKELL | CADE FINANCIAL SERVICES - BEAU SCHROEDER | CADE FINANCIAL SERVICES (BRANCH MANAGER - AARON CADE) | BUTORAC, JOHNSON & ASSOCIATES - TYLER JOHNSON | BUTORAC, JOHNSON & ASSOCIATES (BRANCH MANAGER - JOSEPH BUTORAC) | BUSINESS & ESTATE ADVANTAGES | BUSBEE WEALTH STRATEGIES, LLC - JEFFREY BUSBEE | BURNS BROTHERS FINANCIAL GROUP | BRUNER FINANCIAL SERVICES, INC (BRANCH MANAGER - KEVIN BRUNER) | BROOKHILL FINANCIAL, LLC | BRIDGEPORT INVESTMENTS | BRANDT WEALTH ADVISORS - PHILIP BRANDT | BRAD BARNETT | BOUTIQUE WEALTH MANAGEMENT - JENNIFER HIPKISS | BOUTIQUE WEALTH MANAGEMENT - COLLEEN WOLBERT | BOUTIQUE WEALTH MANAGEMENT (BRNACH MANAGER - JOHN BODDEN) | BODIN FINANCIAL SERVICES (BRANCH MANAGER - THOMAS BODIN) | BLOCK FINANCIAL LLC - MARK KROLL | BEVERLY HICKS & ASSOCIATES - BEVERLY HICKS | BEST INVESTING & TAX - (BRANCH MANAGER - BELINDA BEST) | BENCHMARK FINANCIAL ADVISORS, LLC | BEN CAIN & ASSOCIATES (BRANCH MANAGER - VALERIE MILLER) | BEN C. KAUFMANN (BRANCH MANAGER - BEN KAUFMANN) | BEACON WEALTH MANAGEMENT - RYAN SCHMID | BEACON WEALTH ADVISORS - RACHEL HOOK | BEACON WEALTH ADVISORS - JOSHUA PRATT | BEACON WEALTH ADVISORS (BRANCH MANAGER - CHRIS MORGAN) | AVILA WEALTH MANAGEMENT - MADELINE SCHALIG | AVILA WEALTH MANAGEMENT (BRANCH MANAGER - KIMBERLY SCHREIBER) | AVILA WEALTH MANAGEMENT (BRANCH MANAGER - CASSANDRA BRASHIER) | AVILA WEALTH MANAGEMENT (BRANCH MANAGER - ADAM HUB) | ASCENT FINANCIAL | ASCENDANT WEALTH MANAGEMENT (BRANCH MANAGER - TREVOR CONTI) | ARNOLD AND COMPANY | ALONGI SANTAS FINANCIAL - MARTIN NIELSEN | ALONGI SANTAS FINANCIAL - HENRY CLEMENT | ALONGI SANTAS FINANCIAL (BRANCH MANAGER - DAVID DISTEFANO) | AHLERS & STOLL WEALTH MANAGEMENT (BRANCH MANAGER - PAM AHLERS) | AERIE PREFERRED FINANCIAL GROUP (BRANCH MANAGER - LAURIE ELLIS MCLEOD) | 3 RIVERS INVESTMENT ADVISORS LLC (BRANCH MANAGER - GREG VOLITICH)...
Contact Information
Main Address
575 D'onofrio Drive Suite 300, Madison, WI 53719Mailing Address
575 D'onofrio Drive Suite 300, Madison, WI 53719Phone Number
(608) 662-6100Established
Wisconsin since 01/22/1987Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
232SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SONDEL, NICK WILLIAM | CHIEF EXECUTIVE OFFICER | 1261064 |
| CONWELL, SCOTT OWEN | CHIEF COMPLIANCE OFFICER | 4238913 |
| DUSHEK, JAMES WALTER | VICE PRESIDENT OF OPERATIONS | 4323103 |
| HAGER, AARON MICHAEL | PRESIDENT | 5017811 |
| KOPITZKE, KYLE LEE | DIRECTOR OF TRANSITIONS & PARTNERSHIPS | 5675560 |
| MEDLAND, RICHARD ONEILL | DIRECTOR OF SUPERVISION | 2748242 |
| MEYER, RHONDA LEE | SENIOR VICE PRESIDENT & CHIEF OPERATING OFFICER, FINOP | 2285226 |
| NELLES, JULIE MARIE | VP OF ADVISORY OPERATIONS & SERVICES | 4771824 |
| WIPPERFURTH, DANIEL THOMAS | VICE PRESIDENT OF ADVISOR DEVELOPMENT | 4029404 |
Regulatory Assets Under Management
Total Number of Accounts
44,629AUM (Assets Under Management)
$9,599,102,688Disclosures
Regulatory Event
3Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
1ST RATE WEALTH MANAGEMENT (BRANCH MANAGER - MIKE PEAT) | DEREMER AGENCY (BRANCH MANAGER - DANIEL DEREMER) | DEPREZ FINANCIAL SERVICES | DENALI WEALTH MANAGEMENT | DELEGGE FINANCIAL SERVICES, INC. | D. D. CARLSON FINANCIAL GROUP, INC. | CZUKAS, MCCALL & ASSOCIATES - JOHN CZUKAS | CZUKAS, MCCALL & ASSOCIATES - ANDREW SALEMME | CZUKAS, MCCALL & ASSOCIATES (BRANCH MANAGER - JOSEPH CZUKAS) | CZUKAS, MCCALL & ASSOC., INC. | CRUBEL FINANCIAL SERVICES (BRANCH MANAGER - DOUG CRUBEL) | CRISPIGNA FINANCIAL SERVICES - PHILLIP PETERSEN | CRISPIGNA FINANCIAL SERVICES - OWEN DEPREZ | CRISPIGNA FINANCIAL SERVICES - KACY ALLEN | CRISPIGNA FINANCIAL SERVICES - GERARD DEPREZ | CRISPIGNA FINANCIAL SERVICES - BRIAN CRISPIGNA | CRISPIGNA FINANCIAL SERVICES (BRANCH MANAGER - STEVE CRISPIGNA) | CREATIVE WEALTH PARTNERS, LLC (BRANCH MANAGER - GEORGE ZECK) | CORNERSTONE WEALTH MANAGEMENT PARTNERS, LLC - BRADLEY SAURBAUGH | CORNERSTONE WEALTH MANAGEMENT PARTNERS, LLC (BRANCH MANAGER - JOHN MICHALAK) | CORNERSTONE WEALTH MANAGEMENT (BRANCH MANAGER - JOSHUA RYAN) | CORNERSTONE FINANCIAL PLANNING - NOAH TRUMPY | CORNERSTONE FINANCIAL PLANNING (BRANCH MANAGER - KEITH WICKLUND) | COORDINATED FINANCIAL SERVICES | CONFER FINANCIAL SERVICES | CLEARSTEP FINANCIAL - CASSANDRA BRASHIER | CLEARSTEP FINANCIAL - ADAM HUB | CLEARSTEP FINANCIAL (BRANCH MANAGER - CARLA ZEVNIK SEUFZER) | CHARLES DAVID LANDIS | CBB INVESTMENT CENTER | CATANZARITE FINANCIAL SERVICES - ANTHONY CATANZARITE | CATANZARITE FINANCIAL SERVICES (BRANCH MANAGER - JOE CATANZARITE) | CASTLE FINANCIAL, LLC - TODD THOMPSON | CASTLE FINANCIAL, LLC - JESSE MELICHAR | CARRIE L. COLE | CAPSTONE FINANCIAL ADVISORS | CAPITOL SOLUTIONS, INC. | CAPITAL WEALTH ADVISORS LTD | CAPITAL SEASONS WEALTH MANAGEMENT - JOSH FLANDERS | CAPITAL SEASONS WEALTH MANAGEMENT - BARBARA WITTE | CAPITAL SEASONS WEALTH MANAGEMENT (BRANCH MANAGER - STEPHANIE EHR) | CAPITAL INVESTMENT SERVICES | CAPITAL FINANCIAL SERVICES | CAPITAL FINANCIAL GROUP (BRANCH MANAGER - DONALD GROSS) | CAMELBACK WEALTH MANAGEMENT - MEGAN WELLS | CAMELBACK WEALTH MANAGEMENT - JENNIFER GORALSKI | CAMELBACK WEALTH MANAGEMENT (BRANCH MANAGER - MARK HERDING) | CADE FINANCIAL SERVICES - TRAVIS GASKELL | CADE FINANCIAL SERVICES - BEAU SCHROEDER | CADE FINANCIAL SERVICES (BRANCH MANAGER - AARON CADE) | BUTORAC, JOHNSON & ASSOCIATES - TYLER JOHNSON | BUTORAC, JOHNSON & ASSOCIATES (BRANCH MANAGER - JOSEPH BUTORAC) | BUSINESS & ESTATE ADVANTAGES | BUSBEE WEALTH STRATEGIES, LLC - JEFFREY BUSBEE | BURNS BROTHERS FINANCIAL GROUP | BRUNER FINANCIAL SERVICES, INC (BRANCH MANAGER - KEVIN BRUNER) | BROOKHILL FINANCIAL, LLC | BRIDGEPORT INVESTMENTS | BRANDT WEALTH ADVISORS - PHILIP BRANDT | BRAD BARNETT | BOUTIQUE WEALTH MANAGEMENT - JENNIFER HIPKISS | BOUTIQUE WEALTH MANAGEMENT - COLLEEN WOLBERT | BOUTIQUE WEALTH MANAGEMENT (BRNACH MANAGER - JOHN BODDEN) | BODIN FINANCIAL SERVICES (BRANCH MANAGER - THOMAS BODIN) | BLOCK FINANCIAL LLC - MARK KROLL | BEVERLY HICKS & ASSOCIATES - BEVERLY HICKS | BEST INVESTING & TAX - (BRANCH MANAGER - BELINDA BEST) | BENCHMARK FINANCIAL ADVISORS, LLC | BEN CAIN & ASSOCIATES (BRANCH MANAGER - VALERIE MILLER) | BEN C. KAUFMANN (BRANCH MANAGER - BEN KAUFMANN) | BEACON WEALTH MANAGEMENT - RYAN SCHMID | BEACON WEALTH ADVISORS - RACHEL HOOK | BEACON WEALTH ADVISORS - JOSHUA PRATT | BEACON WEALTH ADVISORS (BRANCH MANAGER - CHRIS MORGAN) | AVILA WEALTH MANAGEMENT - MADELINE SCHALIG | AVILA WEALTH MANAGEMENT (BRANCH MANAGER - KIMBERLY SCHREIBER) | AVILA WEALTH MANAGEMENT (BRANCH MANAGER - CASSANDRA BRASHIER) | AVILA WEALTH MANAGEMENT (BRANCH MANAGER - ADAM HUB) | ASCENT FINANCIAL | ASCENDANT WEALTH MANAGEMENT (BRANCH MANAGER - TREVOR CONTI) | ARNOLD AND COMPANY | ALONGI SANTAS FINANCIAL - MARTIN NIELSEN | ALONGI SANTAS FINANCIAL - HENRY CLEMENT | ALONGI SANTAS FINANCIAL (BRANCH MANAGER - DAVID DISTEFANO) | AHLERS & STOLL WEALTH MANAGEMENT (BRANCH MANAGER - PAM AHLERS) | AERIE PREFERRED FINANCIAL GROUP (BRANCH MANAGER - LAURIE ELLIS MCLEOD) | 3 RIVERS INVESTMENT ADVISORS LLC (BRANCH MANAGER - GREG VOLITICH)...
State Registrations and Notice Filings
(4/27/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Mar 1970SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Benjamin Terrell Cain's CRS (Customer Relationship Summary).
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