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KRISTI LYNETTE CAIN
KRISTI L CAIN, KRISTI CAIN, KRISTI LYNETTE HAZELRIGG
CRD#: 5683160
IA
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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 2810 Frederica St
Owensboro, KY 42301
Owensboro, KY 42301
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 2810 Frederica Street
Owensboro, KY 42301
Owensboro, KY 42301
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Disclosures
14
Years of Experience
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State Registrations
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Kentucky 4/19/2024
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Kentucky 4/19/2024
SRO Registrations
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IA
Registered with this firm since 4/19/2024
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Registered with this firm since 4/19/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/30/2023 - 04/25/2024 | OWENSBORO, KY | |
B | 01/21/2021 - 04/25/2024 | OWENSBORO, KY | |
B | 10/01/2012 - 09/11/2019 | OWENSBORO, KY | |
B | 07/23/2009 - 10/01/2012 | OWENSBORO, KY |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.