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Darrell W. Cain

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CRD#: 1256055
DC
Darrell Ward Cain

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Darrell Ward Cain was a registered financial professional .

Darrell is a previously registered financial professional and started their career in finance in 1992. Darrell had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
MR. CAIN HAS A MINORITY OWNERSHIP INTEREST IN TECTONIC FINANCIAL, INC., A PUBLICLY TRADED ENTITY THAT OWNS THE FOLLOWING FINANCIAL INDUSTRY AFFILIATES: TECTONIC ADVISORS LLC; HWG INSURANCE AGENCY, LLC; SANDERS MORRIS HARRIS LLC; AND T BANK, N.A. THE BANK SERVES AS CUSTODIAN FOR SOME CWA CLIENTS. MR. CAIN RECEIVES ADDITIONAL INDIRECT COMPENSATION IN THE FORM OF A SHARE OF PROFITS FROM THESE ENTITIES. MR. CAIN SPENDS LESS THAN 5% OF HIS TIME ON MANAGEMENT, ADMINISTRATION AND/OR DEVELOPMENT OF THESE RELATED ENTITIES DURING TRADING HOURS. IN ADDITION, MR. CAIN MAINTAINS AN OWNERSHIP INTEREST IN EACH OF THREE ENTITIES RELATED TO CWA; NATIONAL DENTAL PLACEMENTS, LLC (NDP), BEST NEW PATIENTS, LLC (BNP) AND ELITE DENTAL ALLIANCE (EDA). EACH OF THESE ENTITIES IS LOCATED WITHIN THE PLANO HEADQUARTERS OF CWA. THE ENTITIES PROVIDE ADDITIONAL SERVICES OR REFERRALS SPECIFICALLY RELATED TO THE CLIENTS BUSINESS OR INDUSTRY. NONE OF THE SERVICES RECOMMENDED ARE INVESTMENT RELATED, BUT COULD BE RECOMMENDED DURING THE FINANCIAL AND BUSINESS PLANNING PROCESS. MR. CAIN MAY REFER CLIENTS TO THESE ENTITIES DIRECTLY MR. CAIN SPENDS LESS THAN 5% OF HIS TIME ON MANAGEMENT, ADMINISTRATION AND/OR DEVELOPMENT OF THE AFFILIATED ENTITIES DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 3, 2017 - March 20, 2018

AHTS ADVISORS, LLC

RIA
CRD#: 284668
PLANO, TX
Past

April 21, 2006 - January 26, 2026

TECTONIC ADVISORS LLC

RIA
CRD#: 139713
FRISCO, TX
Past

January 1, 1992 - January 26, 2026

CAIN, WATTERS & ASSOCIATES, LLC

RIA
CRD#: 111521
PLANO, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/9/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/8/1984
General Securities Principal Examination

Current Firm

AA
AHTS ADVISORS, LLC
AHTS ADVISORS, LLC

CRD#: 284668 / SEC#: 801-108309

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Contact information

Main Address
6900 N. Dallas Parkway, Suite 500, Plano, TX 75024
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/31/2017)

Red Flags

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Company Information

AHTS ADVISORS, LLC

CRD#: 284668

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