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Mason Stern

Cain, Watters & Associates, LLC

Plano, TX

CRD 6360766

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Employer firm

Cain, Watters & Associates, LLC CRD 111521

$5.04B regulatory AUM 930 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cain, Watters & Associates, Llc

17 Cowboys Way, Suite 300, Frisco, TX 75034 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2019-09-11
TX RA APPROVED 2014-06-25
  • LA RA
    APPROVED
    Since 2019-09-11
  • TX RA
    APPROVED
    Since 2014-06-25

Branch Locations

6900 North Dallas Parkway Suite 500, Plano, TX 75024 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cain, Watters & Associates Pllc Plano TX 07/2014 Present
  • 07/2014 → Present
    Cain, Watters & Associates Pllc
    Plano, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-06-19
  • S65 Uniform Investment Adviser Law Examination
    2014-06-19

View on SEC IAPD

Nearby Firms

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Nearby Investors

John Wayne Purvis
Guy Rene Mondjii
GREGORY THOMAS HANSEN

Nearby Offices

VANGUARD ADVISERS, INC. · PLANO, TX
VANGUARD ADVISERS, INC. · PLANO, TX
VANGUARD ADVISERS, INC. · Plano, TX

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