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600 Travis Suite 5900, Houston, TX 77002-3003 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-02-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sanders Morris Mundy Inc. | Houston | TX | 12/1992 | Present |
1)R BANK, NON-INVESTMENT RELATED, ROUND ROCK, TX, DE NOVO BANK, DIRECTOR, JANUARY 2009, 2 HOURS, LESS THAN 1HR/MONTH, ATTEND BOARD MEETINGS; 2)THE SUNSHINE KIDS, NON INVESTMENT RELATED, HOUSTON, TX, CHARITY BOARD OF DIRECTORS, DIRECTOR, BEGAN 2014 FOR A PERIOD OF THREE YEARS, NO COMPENSATION, APPROXIMATELY 2 HOURS PER MONTH AND NOT DURING TRADING HOURS 3) RYAN SANDERS BASEBALL, ROUND ROCK, TX, DIRECTOR, NO CONFLICT OF INTEREST WITH CLIENTS, APPROXIMATELY 2 HOURS PER MONTH NOT DURING TRADING HOURS 4) NOLAN RYAN FOUNDATION, ROUND ROCK TX, BOARD OF DIRECTORS, APROX 2 HOURS PER MONTH NOT CONDUCTED DURING BUSINESS HOURS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-24 |
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