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Detailed Report
JUDITH HIRSCHKOWITZ CAIN
HIRSCHKOWITZ CAIN, JUDITH CAIN, JUDITH HIRSCHKOWITZ
CRD#: 1520180
IA
Investment Adviser
B
Broker
D.A. DAVIDSON & CO.CRD#: 199 301 NORTH LAKE
SUITE 800
PASADENA, CA 91101
Registration History
199019952000200520102015202020252 FIRMS2013 - 2013 (<1 year)2 FIRMS2013 - Present (11 years)BCROWELL, WEEDON & CO. (CRD# 193)2004 - 2013 (9 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1999 - 2001 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1998 - 1999 (<1 year)BPRINTON KANE & CO., L.P. (CRD# 6358)1988 - 1988 (<1 year)BPRINTON, KANE GOVERNMENT SECUR... (CRD# 17733)1987 - 1988 (1 year)IACROWELL, WEEDON & CO. (CRD# 193)2007 - 2013 (6 years)
License(s)

State Registrations

B
Alaska 7/5/2024
B
Nebraska 1/20/2017
B
Arizona 1/20/2017
B
Nevada 1/20/2017
B
California 11/25/2013
B
New Hampshire 1/20/2017
IA
California 11/25/2013
B
New York 1/20/2017
B
Colorado 1/20/2017
B
North Carolina 8/8/2024
B
Connecticut 1/20/2017
B
Ohio 1/20/2017
B
Florida 1/20/2017
B
Oklahoma 12/18/2023
B
Hawaii 1/20/2017
B
Oregon 1/20/2017
B
Idaho 1/20/2017
B
Pennsylvania 10/10/2018
B
Illinois 1/20/2017
B
South Carolina 1/20/2017
B
Iowa 11/10/2023
B
Texas 1/20/2017
B
Kentucky 3/27/2023
B
Utah 4/5/2022
B
Maryland 1/20/2017
B
Vermont 1/20/2017
B
Massachusetts 1/20/2017
B
Virginia 2/9/2018
B
Michigan 11/14/2024
B
Washington 1/20/2017
B
Minnesota 1/20/2017

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
D.A. DAVIDSON & CO. (CRD#:199)
301 NORTH LAKE SUITE 800, PASADENA, CA 91101
Registered with this firm since 11/25/2013
B
D.A. DAVIDSON & CO. (CRD#:199)
301 NORTH LAKE SUITE 800, PASADENA, CA 91101
Registered with this firm since 11/25/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/04/2013 - 11/25/2013 CROWELL WEEDON & CO. (CRD#:168622) PASADENA, CA
B
 11/04/2013 - 11/25/2013 CROWELL WEEDON & CO. (CRD#:168622) PASADENA, CA
IA
 06/08/2007 - 11/04/2013 CROWELL, WEEDON & CO. (CRD#:193) PASADENA, CA
B
 01/01/2004 - 11/04/2013 CROWELL, WEEDON & CO. (CRD#:193) PASADENA, CA
B
 06/25/1999 - 03/30/2001 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 12/24/1998 - 06/14/1999 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 09/02/1988 - 10/18/1988 PRINTON KANE & CO., L.P. (CRD#:6358)
B
 07/18/1987 - 10/18/1988 PRINTON, KANE GOVERNMENT SECURITIES, INC. (CRD#:17733)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.