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1330 Post Oak Blvd., Suite 2100, Houston, TX 77056 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2020-01-03 |
| TX | RA | APPROVED | 2019-08-16 |
Branch Locations
1330 Post Oak Blvd., Suite 2100, Houston, TX 77056 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investment Placement Group | San Diego | CA | 12/2015 | 08/2019 |
| Global Financial Services, Llc | Houston | TX | 08/2019 | Present |
| Gfs Advisors, Llc | Houston | TX | 08/2019 | Present |
Magnolia School. Not investment related. The address is; 9901 Long Point Rd., Houston, Texas 77055. This is an all girls Catholic school. The position is Member of the school's Board of Directors and there is no connection with day-to-day business of Global Financial Services, LLC. The time spent with such activity is less than five (5) hours per month. The only interference with trading hours is with respect to a meeting which may take place during the lunch hour. The duties as Board member entail attending quarterly meetings to discuss strategic issues related to fundraising, physical plant development and core vision and objectives of the school.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-03-08 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-09 |
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