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600 Travis Suite 5900, Houston, TX 77002-3003 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-05-09 |
Branch Locations
600 Travis Suite 5900, Houston, TX 77002-3003 • 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 |
|---|---|---|---|---|
| Wunderlich Securities | Memphis | TN | 12/2012 | 05/2017 |
| Sanders Morris Harris Llc | Houston | TX | 05/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-01-05 |
| S65 | Uniform Investment Adviser Law Examination | 1994-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 1984-07-31 |
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