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Stephen Michael Cain

Investment Adviser Representative at KOVACK ADVISORS, INC.

Marietta, GACRD #3274337Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
25 yrs
States Registered
11 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 11 states
AlabamaArkansasFloridaGeorgiaIdahoIllinoisMichiganNew YorkNorth CarolinaTexasVirginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 8/18/2007
Series 63
Uniform Securities Agent State Law Examination
Passed 9/30/1999
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/23/1999

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.029
Account minimum: $10,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Kovack Advisors, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

KOVACK ADVISORS, INC.Current
4/1/2015Marietta, GA
LINDNER CAPITAL ADVISORS, INC.
9/25/20087/18/2017Marietta, GA

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Stephen Michael Cain has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Stephen Michael Cain - Financial Advisor in Marietta, GA | AdvisorFinder