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717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2012-04-11 |
Branch Locations
717 N. Harwood Street Suite 3400, Dallas, TX 75201 • UNITED STATES
305 S Broadway Suite 400, Tyler, TX 75702 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sws Financial Services | Tyler | TX | 01/2012 | Present |
1] WORTH PLANNING GROUP AFFILIATED WITH PACIFIC CREST INSURANCE - INVESTMENT RELATED - TYLER, TX - PROPERTY & CASULTY INSURANCE - INSURANCE SALES - STARTED 9/2013 - 2 HRS/DAY DRNG BSNSS HRS - 2 HRS/DAY DRNG NON-BSNSS HRS. 2] National Association of Insurance and Financial Advisors-Investment Related-Falls Church, VA Professional Group-Member - Started 06/06/2016 - 10 hrs/mo - 6 hrs/mo during business hours 3] East Texas Estate Planning Society - Member - The group has 5 to 6 meeting per year, offering CE on Estate Planning issues - no compensation - no time devoted during business hours - 10-12 hours per year devoted during non-business hours - Tyler, TX - start date 03/22/2017 - no conflicts of interest 4] Tyler Chamber of Commerce - Veteran Committee - not for profit/charity - Volunteering with the veterans committee of the Tyler Chamber of Commerce. Help organize programs that benefit our local veterans, ie; job fair for veterans to work in civilian jobs - committee member - maybe 2 - 3 hours a month during business hours - 8 hours a month during non-business hours - start date 11/01/2017 - Tyler, TX - no conflicts of interest. 5] East Texas Piney Woods Chapter of NAIFA; non-investment related, Tyler, TX, Insurance and financial advisory industry support group, President starting March 2023, 3 hrs monthly devoted during business hrs, 1 hr devoted during non-business hrs, No conflicts of interest. 6] Sharon Shriners, Non-Investment Related business, 10027 SH 31 E Tyler, TX 75705, Non-Profit, Treasurer, Start Date 1/5/2009, 5 hrs/month non-business, 1 hr/month trading hours, Treasurer duties, collect dues pay invoices.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-30 |
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