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Detailed Report
MARSHALL TRUMAN CAIN
MARSHALL CAIN
CRD#: 7632422
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 41 W RIVERSIDE AVE STES 400 & 500
SPOKANE, WA 99201
Registration History
2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Alaska 4/27/2023
B
Montana 4/27/2023
B
Arizona 4/27/2023
B
Nevada 4/6/2023
B
California 4/27/2023
B
New Mexico 4/27/2023
B
Colorado 2/27/2024
B
North Carolina 10/11/2023
B
Florida 4/27/2023
B
Ohio 4/8/2024
B
Georgia 1/19/2024
B
Oregon 4/27/2023
B
Hawaii 2/27/2024
B
Tennessee 4/27/2023
B
Idaho 12/12/2022
B
Texas 4/27/2023
IA
Idaho 12/12/2022
IA
Texas 4/27/2023
B
Illinois 2/27/2024
B
Utah 6/22/2023
B
Indiana 4/27/2023
B
Virginia 9/27/2024
B
Iowa 7/26/2024
B
Washington 12/12/2022
B
Kansas 4/27/2023
IA
Washington 12/12/2022
B
Kentucky 2/27/2024
B
Wisconsin 7/19/2023
B
Michigan 4/27/2023
B
Wyoming 8/28/2024
B
Missouri 4/27/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
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
WELLS FARGO ADVISORS (CRD#:19616)
41 W RIVERSIDE AVE STES 400 & 500, SPOKANE, WA 99201
Registered with this firm since 12/12/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
41 W RIVERSIDE AVE STES 400 & 500, SPOKANE, WA 99201
Registered with this firm since 11/4/2022
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.