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Thomas Damon Gates

Cain, Watters & Associates, LLC

Frisco, TX

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Current Employers
Cain, Watters & Associates, Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2009-07-14
TX RA APPROVED 2006-06-01
  • LA RA
    APPROVED
    Since 2009-07-14
  • TX RA
    APPROVED
    Since 2006-06-01

Branch Locations

17 Cowboys Way, Suite 300, Frisco, TX 75034 • 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, Llc Frisco TX 10/2002 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-09
  • S65 Uniform Investment Adviser Law Examination
    2006-05-09
Other Names
  • Tom Gates

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FRISCO, TX
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