Joseph C. Cain

NATIONWIDE INVESTMENT ADVISORS

Frankfort, KY 40601

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CRD#: 5888344

Professional summary

Joseph Christopher Cain is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Frankfort, Kentucky and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Joseph has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Joseph Christopher Cain's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 16, 2020 - Present

NATIONWIDE INVESTMENT ADVISORS, LLC

Office #1: 501 S High Street 2nd Floor, Frankfort, KY 40601Office #2: One Nationwide Plaza 03-07-202, Columbus, OH 43215

RIA

CRD#: 142373

Frankfort, KY

Current

February 22, 2011 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

Office #1: One Nationwide Plaza, Columbus, OH 43215Office #2: 501 High Street 1st Floor, Frankfort, KY 40601

CRD#: 7110

Columbus, OH

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".

NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373 / SEC#: 801-52664

RIA

Registered Investment Advisory firm - (8/30/1996 Approved)

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.

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

Ohio
(11/4/2020)

IAR

Ohio
(12/16/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/15/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/3/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/21/2011

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/6/2020

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373 / SEC#: 801-52664

RIA

Registered Investment Advisory firm - (8/30/1996 Approved)

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Contact information

Main Address

One Nationwide Plaza 03-07-202, Columbus, OH 43215

Mailing Address

Phone number

(614) 435-8371

Established

Firm type

Fiscal year end

# of Employees

417

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NIA FORM ADV PART 2A BROCHURE (7/8/2025)

Regulatory assets under management

Total Number of Accounts	270,365
AUM (Assets Under Management)	$ 15,686,000,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/25/2024	Cover Page	Report
01/26/2024	Cover Page	Report
10/26/2022	Cover Page	Report

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.

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Joseph C. Cain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Christopher Cain's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE INVESTMENT SERVICES CORPORATION

Primary Firm SEC Registration

NATIONWIDE INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/2020

Series 63

Date: 11/3/2020

SIE

Date: 10/1/2018

Series 6

Date: 2/21/2011

Series 26

Date: 10/6/2020

FINRA

Current Firm

NATIONWIDE INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NATIONWIDE INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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