Dan Charles Wicker

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2008 → Present
  Cain, Watters & Associates, P.L.L.C.
  Plano, TX

Other Businesses

MR. WICKER 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. WICKER RECEIVES ADDITIONAL INDIRECT COMPENSATION IN THE FORM OF A SHARE OF PROFITS FROM THESE ENTITIES. MR. WICKER SPENDS LESS THAN 5% OF HIS TIME ON MANAGEMENT, ADMINISTRATION AND/OR DEVELOPMENT OF THESE RELATED ENTITIES DURING TRADING HOURS. IN ADDITION, MR. WICKER 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. WICKER MAY REFER CLIENTS TO THESE ENTITIES DIRECTLY MR. WICKER SPENDS LESS THAN 5% OF HIS TIME ON MANAGEMENT, ADMINISTRATION AND/OR DEVELOPMENT OF THE AFFILIATED ENTITIES DURING TRADING HOURS.

Designations

• Personal Financial Specialist