Charles Cain
Financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated · Wayne, NJ
Last updated 2026-10-10
Claim your profileCharles Cain is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Wayne, NJ, CRD 7522958. Licenses and exams on the registration: Series 66. First registered 2023-01-17.
Registration
- CRD number
- 7522958
- Registration status
- Active
- First registered
- 2023-01-17
- Years of experience
- 10
- States registered
- NJ, TX
Licenses and exams
- Series 66
Work history
- 2022-08 to 2024-04 · Pruco Securities LLC · Basking Ridge, NJ
- 2022-03 to 2022-07 · Van Leeuwen and Company · Princeton, NJ
- 2022-04 to 2022-07 · Green Knoll Grill · Bridgewater, NJ
- 2022-02 to 2022-04 · Uber · Somerville, NJ
- 2015-12 to 2022-02 · Unemployed · Gladstone, NJ
- 2023-01 to 2024-04 · The Prudential Insurance Company of America · Basking Ridge, NJ
- 2024-04 to 2024-09 · MML Investors Services LLC · Iselin, NJ
- 2024-04 to 2024-09 · Mass Mutual Life Insurance Company · Iselin, NJ
- 2024-09 to Present · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Wayne, NJ
- 2024-04 to 2024-09 · Barnum Financial Group · Iselin, NJ
- 2024-10 to Present · Bank of America, N.A. · Wayne, NJ
Current employment
- Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY
Merrill Lynch, Pierce, Fenner & Smith Incorporated
- Regulatory AUM
- $1,781,568,171,479
- Registered advisors
- 25,565
- Offices
- 5,327
- Clients per advisor
- 71.9 (Moderate)
- Average AUM per client
- $968.8K (Low)
- High-net-worth client ratio
- 28.4% (Moderate)
Merrill Lynch, Pierce, Fenner & Smith Incorporated: advisors, services and reported ETF investments
What this firm offers
Filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated on Form ADV.
Client services
- Individuals and Small Businesses
- Businesses or Institutional Clients
- Pension Consulting Services
- Selection of Other Advisers
- Educational Seminars or Workshops
- Other Advisory Service
Fee options
- Percentage of Assets Under Management
- Fixed Fees (Other Than Subscription)
- Commissions
Business and affiliations
- Broker-Dealer (Registered or Unregistered)
- Insurance Broker or Agent
- Sells Non-Advisory Products or Services
- Broker-Dealer or Municipal Securities Dea
- Other Investment Adviser (Incl. Financial
- Registered Security-Based Swap Dealer
- Futures Commission Merchant
- Banking or Thrift Institution
- Trust Company
- Insurance Company or Agency
- Pension Consultant
- Real Estate Broker or Dealer
Location
1700 State Route 23, Wayne, NJ 07470
59 advisors at this office.
Contact
The firm's filed contact details.
Official record
Are you Charles Cain?
Claim your profile to add your biography, services, expertise, client focus, investment approach and fees. Advisor-confirmed information is separate from public SEC records.