Steven Cain has been Shareholder of Tectonic Advisors since January 2026, is a control person of the firm and directly owns between 10% and 25% of it.
Tectonic Advisors LLC is a Frisco, TX firm with $5.14B under management, 2,377 clients and 3 advisers in one office, as of its March 2026 filing.
- Cain, Watters & Associates, LLCAlso current– present · 27 yearsPlano, TX · Adviser representative · Firm CRD 111521
Investment adviser representative registrations
Steven Cain is registered as an investment adviser representative in 2 states. The first approvals date from June 1999; the most recent is Louisiana, in February 2005.
- LouisianaSince 7 February 2005
- TexasSince 24 June 1999
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 11 May 1999 |
| Series 7 | General Securities Representative Examination | 12 February 1998 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Full name
- Steven Lawrence Cain
- CRD
- 4538520
- Firm
- Tectonic Advisors · CRD 139713
- Role
- Shareholder
- Registration
- Investment adviser registration
- In the industry since
- June 1999
- Disciplinary history
- Not yet shown here · SEC record
Where does Steven Cain work?
Steven Cain has been Shareholder of Tectonic Advisors LLC since January 2026, and is a control person of the firm.
Is Steven Cain a financial advisor?
Yes. Steven Cain has a current investment-adviser registration in Louisiana and Texas.
How many years of experience does Steven Cain have?
Steven Cain has 27 years in the financial industry, since June 1999, across 1 adviser firm.
What exams has Steven Cain passed?
Steven Cain has passed 2 licensing exams: the Series 7 and Series 65. The earliest, the Series 7, was passed in February 1998.
Is Steven Cain registered with FINRA?
No. Steven Cain has no current broker registration.
How can I verify Steven Cain’s record?
Search CRD 4538520 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Steven Cain’s full registration record.