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19710 Fm 2920 Rd, Tomball, TX 77377 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2003-03-21 |
Branch Locations
1770 St. James Place Suite 360, Houston, TX 77056 • United States
105 E. Main St. Suite 104, Brenham, TX 77833 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | Houston | TX | 08/2002 | Present |
| Neal Financial Group, L.P. | Houston | TX | 10/2002 | Present |
1. 08/22/2002 - DBA ONLY - NEAL FINANCIAL GROUP - HOUSTON, TX. 2. 8/29/2002 - NON-VARIABLE INSURANCE - INSURANCE - HOUSTON, TX. 3. 1/16/2003 - REGISTERED INVESTMENT ADVISOR - NEAL FINANCIAL GROUP, L.P. - RIA - HOUSTON, TX. 4. 10/23/2009 - OTHER-WORK IN HUSBAND'S MEDICAL OFFICE - JAMES H. KERN, M.D. - ASSIST SPOUSE'S MEDICAL PRACTICE STAFF WITH SECRETARIAL WORK. - TIME SPENT 15%. 5. 11/2/2016 - Cynthia Strausberger Trust - Investment Related - 2175 Felder Road, Washington, TX 77880 - Act in a Fiduciary Capacity - Start 11/05/2016 - 5 Hours Per Month/1 Hour During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 1998-06-03 |
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