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717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2025-10-14 |
| FL | RA | APPROVED | 2023-06-19 |
| SC | RA | APPROVED | 2018-02-21 |
| TX | RA | APPROVED | 2010-11-01 |
Branch Locations
717 N. Harwood Street Suite 3400, Dallas, TX 75201 • UNITED STATES
Katy, TX • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sws Financial Services | Katy | TX | 10/2010 | Present |
1)HARRIS COUNTY HOSPITAL DISTRICT FOUNDATION - NOT INVESTMENT RELATED - HOUSTON TX - CHARITY - BOARD MEMBER AND ASSISTANT TREASURER - 01/01/2005 - SERVE ON THE BOARD AND AS TREASURER - NO COMPENSATION - 1 HR WEEK DRNG BSNSS HRS - 2 HRS WEEK DRNG NON BSNSS HRS - NO CONFLICTS OF INTEREST.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 1980-08-18 |
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