Unclaimed Profile

Kristi J Heffron

CAIN, WATTERS & ASSOCIATES, LLC·PLANO, Texas

SIE, Series 7, Series 24, Series 63, Series 65Clean record22 years registeredCAIN, WATTERS & ASSOCIATES, LLC

6900 DALLAS PARKWAY, STE 500, PLANO, TX 75024CRD# 4702556Firm CRD# 111521

Profile Verification

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

Identity

Kristi J Heffron · PLANO, TX

Registration

CRD #4702556 · CAIN, WATTERS & ASSOCIATES, LLC · 22 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CAIN, WATTERS & ASSOCIATES, LLC

CAIN, WATTERS & ASSOCIATES, LLC

Jul 2014 – Mar 2020

PLANO, TX

SMH CAPITAL ADVISORS, INC.

Nov 2008 – Jun 2014

FORT WORTH, TX

GREEN INVESTMENT MANAGEMENT INC

Aug 2003 – Nov 2008

FORT WORTH, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · August 26, 2003

Years registered · 22

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 Kristi J Heffron offer?

Kristi J Heffron specializes in Financial Planning, Investment Management.

What are Kristi J Heffron's credentials?

Kristi J Heffron is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Kristi J Heffron located?

Kristi J Heffron is based in PLANO, Texas, last registered with CAIN, WATTERS & ASSOCIATES, LLC.

How does Kristi J Heffron charge for services?

Kristi J Heffron'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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