Michael Cain
Professional summary
Michael Cain, who also goes by Michael J Cain Mr., Michael J Cain, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Casco, Maine and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Cain's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 12, 2015 - Present
FIRST TRUST ADVISORS LP
January 12, 2015 - Present
FIRST TRUST PORTFOLIOS L.P.
Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187April 20, 2006 - January 15, 2015
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
October 12, 2005 - April 20, 2006
AMUNDI ASSET MANAGEMENT US, INC.
February 2, 2004 - January 14, 2015
AMUNDI DISTRIBUTOR US, INC.
Primary Firm SEC Registration
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/12/2015)
(1/12/2015)
(1/12/2015)
(10/22/2018)
Exams
FINRA
Current Firm
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,033 |
| AUM (Assets Under Management) | $ 256,328,000,000 |
Red Flags
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