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717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2020-05-28 |
| CO | RA | APPROVED | 2020-05-28 |
| CT | RA | APPROVED | 2020-05-28 |
| OK | RA | APPROVED | 2020-05-28 |
| AR | RA | APPROVED | 2020-05-27 |
| CA | RA | APPROVED | 2020-05-27 |
| FL | RA | APPROVED | 2020-05-27 |
| MN | RA | APPROVED | 2020-05-27 |
| NM | RA | APPROVED | 2020-05-27 |
| NC | RA | APPROVED | 2020-05-26 |
| OR | RA | APPROVED | 2020-05-26 |
| TX | RA | APPROVED | 2005-10-20 |
Branch Locations
7001 Preston Rd Suite 300, Lb 32, Dallas, TX 75205 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sws Financial Services | Dallas | TX | 01/2003 | Present |
1] GilbertEm LLC - Family Owned - Started 2/27/20 - I set this LLC up with my wife 50/50 as governing persons for the purpose of creating an organization that would qualify us for group health insurance. There is no business activity other than getting set up for the group health plan. Title is Governing person - zero hrs during business hrs - zero hrs during non-business hrs - 1846 Migratory Ln. Frisco, TX 75033 Not investment related - no conflicts of interest. 2] Wilshire Baptist Church; Non-Investment Related business, 4316 Abrams Rd., Dallas, TX 75214, Religious / Non-Profit, Finance Committee Member, Start Date 2/16/2025, 2 hrs/month Non-business hours, 0 hrs/month Trading hours, review the donations and expenses, no control or access to the funds or expenditures, advising committee position only.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-12-31 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-06 |
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