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717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2009-01-05 |
| NE | RA | APPROVED | 2008-06-12 |
Branch Locations
717 N. Harwood Street Suite 3400, Dallas, TX 75201 • UNITED STATES
1 disclosure category 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 | Dallas | TX | 06/2008 | Present |
NAME OF BUSINESS: 1)SMR, HUNT & HAUL FTW, LLC; INVESTMENT RELATED: NO; GREENWOOD, AR, NATURE OF BUSINESS: BOOKING CAMERA AND HUNTING SAFARIS AND FISHING TRIPS; POSITION: SALES ASSOCIATE; START OF BUSINESS: 5/04; DESCRIPTION: SALES ASSOCIATE TO WIFE'S BUSINESS THAT SELLS SAFARIS; TIME DEVOTED DURING BUSINESS HOURS: 0; TIME DEVOTED DURING NON-BUSINESS HOURS: 4 HOURS PER WEEK|| NAME OF BUSINESS: 2) CONSULTANT TO WINNABAGO TRIBE - NOT INVESTMENT RELATED - WINNEBAGO NE - INDIAN TRIBE TRIBAL ACTIVITIES - CONSULTANT TO ACTIVITIES POW WOW TRIBAL POLICY - JULY 2007 - ASSITING TRIBAL ACTIVITIES POW WOW POLICY - NO COMPENSATION INVOLVED - NO HRS DRNG BSNSS HRS - 1 HR/MONTH DRNG NON BSNSS HRS - NO CONFLICTS OF INTEREST. 3) HIGH CALIBER RADIO - FT. SMITH, AR - OCCASIONAL RADIO GUEST HOST - DISCUSS OUTDOOR ACTIVITY SUCH AS HUNTING SPORTS - STARTED APRIL 2013 -2 HRS PER MONTH DURING BUS HRS - ZERO HRS DURING NON-BSNSS HRS - NO CONFLICT OF INTEREST.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-01-13 |
| S63 | Uniform Securities Agent State Law Examination | 1979-08-11 |
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