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RACHEL TORI CAIN
CRD#: 2703181
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3011 TOWNSGATE ROAD
SUITE 300
WESTLAKE VILLAGE, CA 91361
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2022 (22 years)BSANFORD C. BERNSTEIN & CO., INC. (CRD# 1232)1996 - 1998 (2 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2001 - 2022 (21 years)
Disclosure(s)
View By:
3/5/2019
Customer Dispute
Denied
3/28/2011
Customer Dispute
Settled
4/28/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 9/15/2022

B
New Jersey 9/15/2022

B
California 9/15/2022

IA
New Jersey 8/5/2024

IA
California 9/15/2022

B
New York 9/15/2022

B
Connecticut 10/18/2023

IA
New York 8/5/2024

B
Delaware 9/15/2022

B
Pennsylvania 9/15/2022

B
Florida 9/15/2022

IA
Pennsylvania 6/9/2023

B
Idaho 9/15/2022

IA
Texas 9/15/2022

B
Kansas 9/15/2022

B
Utah 9/15/2022

B
Kentucky 9/15/2022

B
Virginia 9/15/2022

B
Massachusetts 9/19/2022

B
Washington 9/15/2022

B
Montana 9/15/2022

B
Wisconsin 8/20/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3011 TOWNSGATE ROAD SUITE 300, WESTLAKE VILLAGE, CA 91361
Registered with this firm since 9/15/2022

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3011 TOWNSGATE ROAD SUITE 300, WESTLAKE VILLAGE, CA 91361
Registered with this firm since 9/15/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/23/2001 - 09/19/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LOS ANGELES, CA
B
08/09/2000 - 09/19/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LOS ANGELES, CA
B
05/14/1996 - 09/11/1998 SANFORD C. BERNSTEIN & CO., INC. (CRD#:1232) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.