Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
KRISTI LYNETTE CAIN
KRISTI L CAIN, KRISTI CAIN, KRISTI LYNETTE HAZELRIGG
CRD#: 5683160
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 2810 Frederica St
Owensboro, KY 42301
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 2810 Frederica Street
Owensboro, KY 42301
Registration History
2010201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2021 - 2024 (3 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2019 (6 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (3 years)IAROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2023 - 2024 (<1 year)
License(s)

State Registrations

B
Kentucky 4/19/2024
IA
Kentucky 4/19/2024

SRO Registrations

B
 FINRA

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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
2810 Frederica St, Owensboro, KY 42301
Registered with this firm since 4/19/2024
B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
2810 Frederica Street, Owensboro, KY 42301
Registered with this firm since 4/19/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/30/2023 - 04/25/2024 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) OWENSBORO, KY
B
 01/21/2021 - 04/25/2024 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) OWENSBORO, KY
B
 10/01/2012 - 09/11/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) OWENSBORO, KY
B
 07/23/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) OWENSBORO, KY
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.