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Frederick Warren Middleton

Sendero Wealth Management, LLC

San Antonio, TX

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Current Employers
Sendero Wealth Management, Llc

250 W. Nottingham Suite 300, San Antonio, TX 78209 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2007-12-05
  • TX RA
    APPROVED
    Since 2007-12-05

Branch Locations

250 W. Nottingham Suite 300, San Antonio, TX 78209 • 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
OrganizationCityStateFromTo
Sendero Wealth Management, Llc San Antonio TX 12/2007 08/2020
Sendero Securities, Llc San Antonio TX 07/2008 09/2017
Sendero Securities, Llc San Antonio TX 09/2017 08/2020
Sendero Securities, Llc San Antonio TX 08/2020 Present
Sendero Wealth Management, Llc San Antonio TX 08/2020 Present
  • 12/2007 → 08/2020
    Sendero Wealth Management, Llc
    San Antonio, TX
  • 07/2008 → 09/2017
    Sendero Securities, Llc
    San Antonio, TX
  • 09/2017 → 08/2020
    Sendero Securities, Llc
    San Antonio, TX
  • 08/2020 → Present
    Sendero Securities, Llc
    San Antonio, TX
  • 08/2020 → Present
    Sendero Wealth Management, Llc
    San Antonio, TX
Previous Registrations
  • 2000-08-16 → 2007-12-05
    Hitherlane Partners, Llc
    San Antonio, TX
    San Antonio, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-14
S63 Uniform Securities Agent State Law Examination 1987-07-30
  • S65 Uniform Investment Adviser Law Examination
    1999-08-14
  • S63 Uniform Securities Agent State Law Examination
    1987-07-30

View on SEC IAPD

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