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Daniel M. Cain

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CRD#: 6032191
DC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Matthew Cain was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1973. Daniel had worked at 3 firms and has passed the Series 63, SIE, Series 1, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

April 13, 1984 - May 15, 2017

CAIN BROTHERS & COMPANY, LLC

BD
CRD#: 13649
NEW YORK, NY
Past

September 9, 1980 - January 17, 1983

SALOMON BROTHERS INC.

BD
CRD#: 740
Past

March 16, 1973 - November 1, 1974

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572

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.

Exams

State Security Law Exam
RR
Series 63
Date: 12/16/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/15/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 3/12/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/31/1999
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/14/1984
Financial and Operations Principal Examination

Current Firm

CB
CAIN BROTHERS & COMPANY, LLC
CAIN BROTHERS & COMPANY, INCORPORATED | CAIN BROTHERS, SHATTUCK & COMPANY, INCORPORATED | CAIN BROTHERS, SHATTUCK & COMPANY | CAIN BROTHERS & COMPANY, LLC

CRD#: 13649 / SEC#: , 8-43078

BD
Terminated by SEC on 03/04/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/18/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KEYBANC CAPITAL MARKETS INC.SOLE MEMBER566
DAVIDENKO, CHARITY ANNCHIEF COMPLIANCE OFFICER/VP COMPLIANCE4203342
FRAIMAN, ROBERT JAY JRCHIEF EXECUTIVE OFFICER, PRESIDENT1281268
THURMAN, RHETT DAVIDCHIEF ADMINISTRATIVE OFFICER, FINANCIAL & OPERATIONS PRINCIPAL4484341

Disclosures

Regulatory Event2

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

CAIN BROTHERS & COMPANY, LLC

CRD#: 13649

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