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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-17 |
Branch Locations
600 Travis St Floors 61St & 62Nd, Houston, TX 77002-3009 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Frost Bank | Sugar Land | TX | 02/2013 | 01/2022 |
| Frost Brokerage Services | Sugar Land | TX | 02/2013 | 01/2022 |
| Frost Investment Services | Sugarland | TX | 06/2017 | 06/2017 |
| Jpmorgan Chase Bank Na | Houston | TX | 01/2022 | Present |
| Jpmorgan Securities Llc | Houston | TX | 01/2022 | Present |
| David Smith Law Firm , Pllc | Pearland | TX | 11/2023 | Present |
Entity Name: David Smith Law Firm , PLLC Investment related: No "Address: 11200 Broadway St. Suite 2743 Pearland, TX 77584 Website: davidsmith.law.com" Nature of the other business: Law Firm Position/Title/Relationship: Employee/Contractor Start Date: 11/07/2023 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: This is my husband's criminal defense law practice for which he is the sole owner. My role would be as Marketing Consultant and not in any way related to my role as a Private Banker. I would not advise on any financial matters, but only help occasionally with his social media.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 2006-01-17 |
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