Daniel Cain, financial advisor Shelton CT
93 score

Daniel Cain

CRD Number: 5592653
Current Firm: Lpl Financial LLC

Daniel Cain (CRD# 5592653) is an Investment Advisor Representative working at Lpl Financial LLC in Shelton, CT and has over 5 years of experience in the finance industry. Daniel 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.

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Professional Designations
Company Name Location Dates Years
Lpl Financial LLC Shelton, CT Mar 2011 - Current 5
Gulish & Associates Shelton, CT Sep 2010 - Current 6
Tuv Sud America Peabody, MA Oct 2009 - Sep 2010 < 1
Vertullo Landscaping Billerica, MA Jun 2001 - Oct 2009 8
First Investors Waltham, MA Dec 2008 - May 2009 < 1
Endicott College Beverly, MA Sep 2005 - May 2009 3
Marcus Financial Beverly, MA Sep 2008 - Dec 2008 < 1
Morton Financial Wellesley, MA Jun 2008 - Aug 2008 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2011
Contact Info for Daniel J. Cain
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
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)
  • Educational seminars/workshops
  • Other
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
93
Clean Record
This advisor has a clean track record with regulators.

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