Dale Cain (CRD# 1562208) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Lake Wales, FL and has over 37 years of experience in the finance industry. Dale Cain has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 5383309
Truist Advisory Services, Inc.
CRD# 2800204
Lpl Financial LLC
CRD# 5963139
J.p. Morgan Securities LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Pat Cain Wealth Solutions/raymond James | Lake Wales, FL | Oct 2019 - Current | 4 |
| Pat Cain Investments, Inc. | Lake Wales, FL | Jul 2010 - Current | 13 |
| Raymond James Financial Services Advisors, Inc. | Lake Wales, FL | Sep 2009 - Current | 14 |
| Raymond James Financial Services, Inc. | Lake Wales, FL | Apr 1996 - Current | 28 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Nov 1986 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
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Total Assets Under Management275,430MILLIONS
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Total Number of Accounts985,117ACCOUNTS
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Average Account Value$279,591
- A percentage of assets under your management
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- Financial planning services
- Portfolio management for individuals and/or small businesses
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AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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