Steven Fain, financial advisor Portland OR
86 score

Steven Fain

CRD Number: 2996318
Current Firm: Cambridge Investment Research Advisors, Inc.

Steven Fain (CRD# 2996318) is an Investment Advisor Representative working at Cambridge Investment Research Advisors, Inc. in Portland, OR and has over 18 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Cambridge Investment Research Advisors, Inc. Fairfield, IA Jun 2008 - Current 8
Cambridge Investment Research, Inc. Fairfield, IA Jun 2008 - Current 8
Provident Mutual Berwyn, PA Oct 1997 - Current 19
Financial Reserve Inc. Portland, OR Sep 1995 - Current 21
1717 Capital Management Company Portland, OR Dec 1997 - Jun 2008 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1998
S65 NASAA Investment Advisors Law Examination Nov 1999
Disclosure Information

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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Steven M. Fain
Phone Number: 641-472-5100
Firm Website: http://www.cir2.com
Registered State(s):
  • OR
  • TX
By the Numbers
  • Total Assets Under Management
    25,187
    MILLIONS
  • Total Number of Accounts
    152,412
    ACCOUNTS
  • Average Account Value
    $165,257
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Market timing services
  • Educational seminars/workshops
Types of Clients
Registered States

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

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BADGES
86

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