Unclaimed Profile

Steven Lawrence Cain

CAIN, WATTERS & ASSOCIATES, LLC·FRISCO, Texas

Series 7, Series 65Clean record27 years registeredCAIN, WATTERS & ASSOCIATES, LLC

17 COWBOYS WAY, SUITE 300, FRISCO, TX 75034CRD# 4538520Firm CRD# 111521

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Steven Lawrence Cain · FRISCO, TX

Registration

CRD #4538520 · CAIN, WATTERS & ASSOCIATES, LLC · 27 years registered

Brand Profile

Not yet started

Career History

CAIN, WATTERS & ASSOCIATES, LLC

Jun 1999 – present

Registrations & Exams

FINRA examinations passed

Series 7

Series 65

Registration record

First registered · June 24, 1999

Years registered · 27

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CAIN, WATTERS & ASSOCIATES, LLC

CRD 111521 · SEC 801-39899

AUM

$3.5B

Regulatory assets under management

Employees

283

9,075 client accounts

Services offered by CAIN, WATTERS & ASSOCIATES, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at CAIN, WATTERS & ASSOCIATES, LLC →

Introduction

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Frequently Asked Questions

What services does Steven Lawrence Cain offer?

Steven Lawrence Cain specializes in Financial Planning, Investment Management. Contact their office in FRISCO, Texas for a consultation.

What are Steven Lawrence Cain's credentials?

Steven Lawrence Cain is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Steven Lawrence Cain located?

Steven Lawrence Cain is based in FRISCO, Texas, working with CAIN, WATTERS & ASSOCIATES, LLC. Their office serves clients in the FRISCO metropolitan area and surrounding communities.

How does Steven Lawrence Cain charge for services?

Steven Lawrence Cain's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CAIN, WATTERS & ASSOCIATES, LLC?

CAIN, WATTERS & ASSOCIATES, LLC has approximately 283 employees and manages $3.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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