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Current Employers
Sanders Morris Llc

600 Travis Suite 5900, Houston, TX 77002-3003 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-05-05
  • TX RA
    APPROVED
    Since 2017-05-05

Branch Locations

600 Travis Suite 5900, Houston, TX 77002-3003 • UNITED STATES

600 Travis Suite 5900, Houston, TX 77002 • 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
Wunderlich Securities, Inc. Memphis TN 12/2012 05/2017
Sanders Morris Harris Llc Houston TX 05/2017 Present
  • 12/2012 → 05/2017
    Wunderlich Securities, Inc.
    Memphis, TN
  • 05/2017 → Present
    Sanders Morris Harris Llc
    Houston, TX
Previous Registrations
Other Businesses

1)U.S. FUND FOR UNICEF, 2)NOT INVESTMENT RELATED, 3)520 POST OAK BLVD STE 280 HOUSTON TX 77027, 4)NON PROFIT, 5)HONORARY TIRLE CHAIRMAN EMRESTUS, 6)1985, 7)3 HR PER MONTH, 8)0 HR DURING SECURITIES TRADING, 9) NONE

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-21
S63 Uniform Securities Agent State Law Examination 1980-02-04
  • S65 Uniform Investment Adviser Law Examination
    1994-03-21
  • S63 Uniform Securities Agent State Law Examination
    1980-02-04

View on SEC IAPD

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