DC
Darrell W. Cain
CAIN, WATTERS & ASSOCIATES
PLANO, TX 75024
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CRD#: 1256055
DC
Professional summary
Darrell Ward Cain is a registered financial advisor currently at CAIN, WATTERS & ASSOCIATES, LLC located in Plano, Texas and TECTONIC ADVISORS LLC located in Frisco, Texas.
Darrell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Darrell has worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
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Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 1, 1992 - Present
CAIN, WATTERS & ASSOCIATES, LLC
Office #1: 6900 Dallas Parkway Ste 500, Plano, TX 75024RIA
CRD#: 111521
PLANO, TX
Current
April 21, 2006 - Present
TECTONIC ADVISORS LLC
Office #1: 17 Cowboys Way Ste 250, Frisco, TX 75034RIA
CRD#: 139713
FRISCO, TX
Past
April 3, 2017 - March 20, 2018
AHTS ADVISORS, LLC
RIA
CRD#: 284668
PLANO, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TECTONIC ADVISORS LLC
III TO I FINANCIAL MANAGEMENT RESEARCH, L.P. | TECTONIC ADVISORS LLC
CRD#: 139713 / SEC#: 801-66385
RIA
Registered Investment Advisory firm - (4/21/2006 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Louisiana(1/17/2006)
IAR
Texas(1/1/1992)
Exams
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
TA
TECTONIC ADVISORS LLC
III TO I FINANCIAL MANAGEMENT RESEARCH, L.P. | TECTONIC ADVISORS LLC
CRD#: 139713 / SEC#: 801-66385
RIA
Registered Investment Advisory firm - (4/21/2006 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
17 Cowboys Way Ste 250, Frisco, TX 75034
Mailing Address
Phone number
(713) 250-4200
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,991 |
| AUM (Assets Under Management) | $ 4,346,451,704 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/24/2024 | ||
| 03/06/2023 |
Red Flags
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Company Information
TECTONIC ADVISORS LLC
CRD#: 139713Plano, TX 75024TRUST BUT VERIFY
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