Inactive

Harvey Patrick Steele

Caz Investments L.P.

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Current Employers

Caz Investments L.P.

1360 Post Oak Blvd. Suite 2200, Houston, TX 77056 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-07-13

TX RA
APPROVED_RES

Since 2024-07-13

Branch Locations

1360 Post Oak Blvd. Suite 2200, Houston, TX 77056 • 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

Organization	City	State	From	To
New York Life Investment Management Llc	Cincinnati	OH	04/2007	05/2018
Westwood Management Corp.	Dallas	TX	12/2018	06/2024
Foreside Fund Services, Llc	Dallas	TX	12/2018	06/2024
Unemployed	Lauderdale By The Sea	FL	05/2018	12/2018
Caz Investments Lp	Houston	TX	06/2024	Present

04/2007 → 05/2018

New York Life Investment Management Llc

Cincinnati, OH
12/2018 → 06/2024

Westwood Management Corp.

Dallas, TX
12/2018 → 06/2024

Foreside Fund Services, Llc

Dallas, TX
05/2018 → 12/2018

Unemployed

Lauderdale By The Sea, FL
06/2024 → Present

Caz Investments Lp

Houston, TX

Previous Registrations

2019-01-09 → 2024-06-13

Westwood Management Corp

Dallas, TX
2007-04-30 → 2018-06-15

New York Life Investment Management Llc

New York, NY

Lauderdale By The Sea, FL
2005-07-25 → 2006-08-11

Lord, Abbett & Co. Llc

Jersey City, NJ

Jersey City, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-07-22

S66 Uniform Combined State Law Examination

2005-07-22

Other Names

Harvey P. Steele
Harvey Patrick Steele
Harvey Patrick Steele

View on SEC IAPD

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Other Investors

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JON CARTER VAUGHAN

GREGORY JAMES KALLUS

Philip Chukwuezugo Onochie

Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX

TSA WEALTH MANAGEMENT · HOUSTON, TX

PEREA CAPITAL · HOUSTON, TX

TRI-STAR ADVISORS, INC. · HOUSTON, TX

HORNOR, TOWNSEND & KENT, LLC · Houston, TX

AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX

LPL FINANCIAL LLC · HOUSTON, TX

MARINER INDEPENDENT · Houston, TX

More in Houston, TX

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