Charles Cain
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
9 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
9 years in the industry.
- Bank of America, N.A.Oct 2024 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 2024 to now
- Barnum Financial GroupApr 2024 to Sep 2024
- Mass Mutual Life Insurance CompanyApr 2024 to Sep 2024
- MML Investors Services LLCApr 2024 to Sep 2024
- The Prudential Insurance Company of AmericaJan 2023 to Apr 2024
- Pruco Securities LLCAug 2022 to Apr 2024
- Green Knoll GrillApr 2022 to Jul 2022
- Van Leeuwen and CompanyMar 2022 to Jul 2022
- UberFeb 2022 to Apr 2022
- UnemployedDec 2015 to Feb 2022
Exams passed
- Series 66 · Uniform Combined State Law2023
State registrations
Registered as an investment adviser representative in 2 states (NJ, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7522958
- Firm CRD
- 7691