Thomas Edward Cain JR | Financial Professional

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.

Thomas Edward Cain JR, who also goes by Tom Cain Jr, Thomas Edward Cain Jr, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Tom Cain Jr | Thomas Edward Cain Jr

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.

The advisor shows no other business activity.

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

May 30, 2012 - April 9, 2014

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

SAN ANTONIO, TX

Past

May 30, 2012 - April 9, 2014

SWBC INVESTMENT SERVICES, LLC

BD

CRD#: 133715

HOUSTON, TX

Past

March 22, 2011 - May 9, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

HOUSTON, TX

Past

March 17, 2011 - May 9, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HOUSTON, TX

Past

April 19, 2007 - June 2, 2009

LPL FINANCIAL LLC

BD

CRD#: 6413

HOUSTON, TX

Past

January 15, 1997 - August 22, 2006

MOMENTUM INDEPENDENT NETWORK INC.

BD

CRD#: 17587

HOUSTON, TX

Past

September 18, 1995 - January 23, 1997

HARRIS WEBB & GARRISON, INC.

BD

CRD#: 28188

HOUSTON, TX

Past

August 14, 1992 - September 26, 1995

LEGG MASON WOOD WALKER, INCORPORATED

BD

CRD#: 6555

BALTIMORE, MD

Past

March 20, 1990 - October 18, 1990

LEHMAN BROTHERS INC.

BD

CRD#: 7506

NEW YORK, NY

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".

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/16/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 6/25/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 3/17/1990

General Securities Representative Examination

Current Firm

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459

Mailing Address

Phone number

(210) 376-3279

Established

Firm type

Fiscal year end

# of Employees

28

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWBC INVESTMENT COMPANY WRAP PROGRAM (3/31/2025)

SWBC INVESTMENT COMPANY ADV SCHEDULE A PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	406
AUM (Assets Under Management)	$ 229,193,705

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Thomas E. Cain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SWBC INVESTMENT SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

LPL FINANCIAL LLC

MOMENTUM INDEPENDENT NETWORK INC.

HARRIS WEBB & GARRISON, INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

SWBC INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 3/16/2011

Series 63

Date: 6/25/1990

Series 7

Date: 3/17/1990

Current Firm

SWBC INVESTMENT COMPANY

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWBC INVESTMENT COMPANY

TRUST BUT VERIFY

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