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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-07-13 |
Branch Locations
711 Louisiana Street 15Th Floor, Houston, TX 77002 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Global Investor Services, Lc | Houston | TX | 10/2015 | 11/2016 |
| Hb Asset Management | Houston | TX | 04/2015 | 11/2016 |
| Global Investor Advisory Services | Miami | FL | 04/2016 | 11/2016 |
| Well Fargo Clearing Services Llc | Houston | TX | 11/2016 | 07/2021 |
| Oppenheimer & Co, Inc | Houston | TX | 07/2021 | Present |
PERSONAL FAMILY TRUST
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-11-04 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-18 |
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