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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2025-04-03 |
| TX | RA | APPROVED | 2017-08-10 |
Branch Locations
1 Cowboys Way Suite 450, Frisco, TX 75034 • United States
Mckinney, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Southwest Securities, Inc. | Dallas | TX | 05/2003 | 08/2017 |
| Rbc Capital Markets Llc | Plano | TX | 08/2017 | Present |
1). SUCCESSOR TRUSTEE FOR CRANK TRUST - INVESTMENT RELATED - SWS SECURITIES ACOUNT - ADMINISTER TRUST DIRECTIVES ON ACCOUNTS - SUCCESSOR TRUSTEE FOR THE JOHN C CRANK TRUST THAT IS IN JOHN FERGUSON'S REP NUMBER - 01/13/2011 - TRUSTEE FOR FORMER FA'S TRUST AFTER HE PASSED AWAY, ACTIVITY HAS BEEN APPROVED BY STEVE DOTY IN LEGAL - NO COMPENSATION - 1/2 HR DRNG BSNSS HRS - NO HRS DRNG NON BSNSS HRS - NO CONFLICTS OF INTEREST. 2.) FAMILY HERITAGE LIFE, NOT INVESTMENT RELATED, INSURANCE - SUPPLEMENTAL, I RECEIVE RESIDUAL COMMISSIONS FROM INSURANCE POLICIES I SOLD BETWEEN OCTOBER 1992 AND MARCH 1997. I AM NO LONGER ACTIVELY ENGAGED IN THE SALES OR SERVICING OF THESE POLICIES. THESE ARE RESIDUAL COMMISSION PAYMENTS ONLY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-08-01 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-23 |
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