Stephen Wayne Fitzpatrick

Sanders Morris LLC

Claim This Profile

Current Employers

Sanders Morris Llc

600 Travis Suite 5900, Houston, TX 77002-3003 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2022-09-19
AK	RA	APPROVED	2022-09-16
IA	RA	APPROVED	2022-09-08
VA	RA	APPROVED	2022-09-07
VI	RA	APPROVED	2022-09-07
CO	RA	APPROVED	2022-09-06
DE	RA	APPROVED	2022-09-06
FL	RA	APPROVED	2022-09-06
GA	RA	APPROVED	2022-09-06
HI	RA	APPROVED	2022-09-06
ID	RA	APPROVED	2022-09-06
IN	RA	APPROVED	2022-09-06
LA	RA	APPROVED	2022-09-06
MO	RA	APPROVED	2022-09-06
NH	RA	APPROVED	2022-09-06
NC	RA	APPROVED	2022-09-06
ND	RA	APPROVED	2022-09-06
PR	RA	APPROVED	2022-09-06
WV	RA	APPROVED	2022-09-06
AL	RA	APPROVED	2022-09-02
CA	RA	APPROVED	2022-09-02
CT	RA	APPROVED	2022-09-02
IL	RA	APPROVED	2022-09-02
KS	RA	APPROVED	2022-09-02
ME	RA	APPROVED	2022-09-02
MN	RA	APPROVED	2022-09-02
MT	RA	APPROVED	2022-09-02
NE	RA	APPROVED	2022-09-02
NJ	RA	APPROVED	2022-09-02
NM	RA	APPROVED	2022-09-02
NY	RA	APPROVED	2022-09-02
OH	RA	APPROVED	2022-09-02
OR	RA	APPROVED	2022-09-02
PA	RA	APPROVED	2022-09-02
SD	RA	APPROVED	2022-09-02
UT	RA	APPROVED	2022-09-02
WA	RA	APPROVED	2022-09-02
WY	RA	APPROVED	2022-09-02
TX	RA	APPROVED	2017-08-07

AZ RA
APPROVED

Since 2022-09-19
AK RA
APPROVED

Since 2022-09-16
IA RA
APPROVED

Since 2022-09-08
VA RA
APPROVED

Since 2022-09-07
VI RA
APPROVED

Since 2022-09-07
CO RA
APPROVED

Since 2022-09-06
DE RA
APPROVED

Since 2022-09-06
FL RA
APPROVED

Since 2022-09-06
GA RA
APPROVED

Since 2022-09-06
HI RA
APPROVED

Since 2022-09-06
ID RA
APPROVED

Since 2022-09-06
IN RA
APPROVED

Since 2022-09-06
LA RA
APPROVED

Since 2022-09-06
MO RA
APPROVED

Since 2022-09-06
NH RA
APPROVED

Since 2022-09-06
NC RA
APPROVED

Since 2022-09-06
ND RA
APPROVED

Since 2022-09-06
PR RA
APPROVED

Since 2022-09-06
WV RA
APPROVED

Since 2022-09-06
AL RA
APPROVED

Since 2022-09-02
CA RA
APPROVED

Since 2022-09-02
CT RA
APPROVED

Since 2022-09-02
IL RA
APPROVED

Since 2022-09-02
KS RA
APPROVED

Since 2022-09-02
ME RA
APPROVED

Since 2022-09-02
MN RA
APPROVED

Since 2022-09-02
MT RA
APPROVED

Since 2022-09-02
NE RA
APPROVED

Since 2022-09-02
NJ RA
APPROVED

Since 2022-09-02
NM RA
APPROVED

Since 2022-09-02
NY RA
APPROVED

Since 2022-09-02
OH RA
APPROVED

Since 2022-09-02
OR RA
APPROVED

Since 2022-09-02
PA RA
APPROVED

Since 2022-09-02
SD RA
APPROVED

Since 2022-09-02
UT RA
APPROVED

Since 2022-09-02
WA RA
APPROVED

Since 2022-09-02
WY RA
APPROVED

Since 2022-09-02
TX RA
APPROVED

Since 2017-08-07

Branch Locations

5950 Sherry Lane Suite 470, Dallas, TX 75225 • 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
Sanders Morris Harris Llc	Houston	TX	07/2016	Present

07/2016 → Present

Sanders Morris Harris Llc

Houston, TX

Previous Registrations

2001-04-20 → 2005-12-02

Legg Mason Wood Walker, Incorporated

Dallas, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-08-07
S63	Uniform Securities Agent State Law Examination	2016-09-22

S65 Uniform Investment Adviser Law Examination

2017-08-07
S63 Uniform Securities Agent State Law Examination

2016-09-22

Other Names

Stephen Wayne Fitzpatrick

View on SEC IAPD

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