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Current Employers
Southwestern Advisory Group Llc

105 East Road, Stephenville, TX 76401 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2023-09-06
TX RA APPROVED 2016-03-09
  • LA RA
    APPROVED
    Since 2023-09-06
  • TX RA
    APPROVED
    Since 2016-03-09

Branch Locations

105 East Road, Stephenville, TX 76401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Southwestern Advisory Group Stephenville TX 03/2016 Present
Purshe Kaplan Sterling Investments Albany NY 03/2016 12/2019
  • 03/2016 → Present
    Southwestern Advisory Group
    Stephenville, TX
  • 03/2016 → 12/2019
    Purshe Kaplan Sterling Investments
    Albany, NY
Previous Registrations
Other Businesses

1. Southwestern Enterprises,-Holding Company-105 East Road, Stephenville, TX 76401-Holding Company-Managing Member-3/2014-200 hrs/mth-8hrs/day during trading hrs-Review Books & Records. 2. Stephenville Economic Development-Not investment related-Stephenville, TX 76401-Foundation-Board member-1/2014-1-9 hrs/mth-100% during trading hrs-community development & engagement 3. Texas Association of School Boards (TASB)-Not investment related-Austin, TX 78767-Education-Member of the Legislative Advisory Council (LAC)-3/2016-1-9 hrs/mth-0 during trading hrs-Determine & omplement regional and statewide legislative parties 4. Ancient free & accepted masons-not investment related-Stephenville, TX 76401-1/2012-1-9 hrs/mth-100% during trading hrs-General duties of a foundation advisor 5. Stephenville Independent School District-Not investment related-Stephenville, TX 76401-Education-Board member-1/2014-1-9 hrs/mth-0 during trading hrs-General duties for a school board member 6. Parks Southwestern Management Services, LLC. Not investment related. Bookeeping, payroll, bill payments, benefits and expense management.105 East Road, Stephenville, TX 76401. Managing Member. 32 hours.month 8 during trading. Bookeeping, payroll, bill payments, benefits, expense management, record keeping, registered agent services, executive office, human resources and other various third-party business management services.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-05-02
  • S66 Uniform Combined State Law Examination
    2009-05-02

View on SEC IAPD

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