Paul D. Lyons

CAIN, WATTERS & ASSOCIATES

FRISCO, TX 75034

Some features on this profile are disabled

CRD#: 4900585

Professional summary

Paul Douglas Lyons, CFP®, who also goes by Paul D. Lyons, is a registered financial advisor currently at CAIN, WATTERS & ASSOCIATES, LLC located in Frisco, Texas and TECTONIC ADVISORS LLC located in Frisco, Texas.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Paul has worked at 5 firms and has passed the Series 65, SIE, Series 99TO and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul D. Lyons

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. Lyons is separately registered as an Investment Adviser Representative of Cain, Watters & Associates, LLC, an affiliated investment adviser registered with the Securities and Exchange Commission. Mr. Lyons spends a negligible amount of time in his capacities at Cain, Watters & Associates, LLC. Mr. Lyons is also separately registered as a Financial and Operations Principal (FinOp) with Sanders Morris Harris, ("SMH"), a registered broker-dealer, and a member of the Financial Industry Regulatory Authority ("FINRA") and the Securities Investor Protection Corporation ("SIPC"). Mr. Lyons spends approximately 10% of his time on his FinOp duties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Douglas Lyons's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

February 13, 2006 - Present

CAIN, WATTERS & ASSOCIATES, LLC

Office #1: 17 Cowboys Way, Suite 300, Frisco, TX 75034

RIA

CRD#: 111521

FRISCO, TX

Current

April 21, 2006 - Present

TECTONIC ADVISORS LLC

Office #1: 17 Cowboys Way Ste 250, Frisco, TX 75034

RIA

CRD#: 139713

FRISCO, TX

Current

July 18, 2017 - Present

SANDERS MORRIS LLC

Office #1: 5950 Sherry Lane Suite 470, Dallas, TX 75225

RIA

CRD#: 20580

Dallas, TX

Past

June 7, 2016 - October 26, 2016

TECTONIC SECURITIES, LLC

CRD#: 281623

Dallas, TX

Past

January 5, 2005 - November 11, 2005

KPMG INVESTMENT ADVISORS

RIA

CRD#: 111778

DALLAS, 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".

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

Texas
(2/13/2006)

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: 1/31/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

Principal/Supervisory Exam

Series 27

Date: 12/18/2015

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

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

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TECTONIC ADVISORS LLC FORM ADV PART 2 BROCHURE (3/26/2025)

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	Cover Page	Report
03/06/2023	Cover Page	Report

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.

Similar Advisors

David Alvarez

EDWARD JONES

IAR

Grapevine, TX

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

IAR

Garland, TX

Jonathan Meaney

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

IAR

DALLAS, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Paul D. Lyons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Douglas Lyons's CRS (Customer Relationship Summary).

Certified licenses

Experience

TECTONIC ADVISORS LLC

SANDERS MORRIS LLC

TECTONIC SECURITIES, LLC

KPMG INVESTMENT ADVISORS

Primary Firm SEC Registration

TECTONIC ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/2002

SIE

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 27

Date: 12/18/2015

FINRA

Current Firm

TECTONIC ADVISORS LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TECTONIC ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors