Francis G. Mccutchan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Francis Gerard Mccutchan, who also goes by Frank Mccutchan, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1982. Francis had worked at 13 firms and has passed the Series 63, SIE, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2019 - December 9, 2021
SANDERS MORRIS LLC
September 6, 2016 - July 12, 2017
RAYMOND JAMES & ASSOCIATES, INC.
June 26, 2015 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
May 29, 2009 - January 15, 2015
GUGGENHEIM SECURITIES, LLC
April 22, 2003 - August 27, 2008
J.P. MORGAN SECURITIES LLC
February 3, 2003 - February 10, 2003
PENSON FINANCIAL SERVICES, INC.
September 8, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
April 19, 2000 - September 1, 2000
PENSON FINANCIAL SERVICES, INC.
September 19, 1997 - August 21, 1998
TRADE.COM ONLINE SECURITIES, INC.
June 11, 1996 - November 26, 1996
PRIME CHARTER LTD.
April 25, 1991 - March 29, 1996
WELLS FARGO CLEARING SERVICES, LLC
May 25, 1989 - March 14, 1991
RAYMOND JAMES & ASSOCIATES, INC.
September 26, 1986 - February 3, 1989
GLEACHER & COMPANY SECURITIES, INC.
June 26, 1984 - September 29, 1986
CIBC WORLD MARKETS CORP.
April 14, 1982 - February 19, 1983
BECKER PARIBAS INCORPORATED
Primary Firm SEC Registration
SANDERS MORRIS LLC
CRD#: 20580 / SEC#: 801-66300, 8-38325
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 9/30/1982
Interest Rate Options ExaminationCurrent Firm
SANDERS MORRIS LLC
CRD#: 20580 / SEC#: 801-66300, 8-38325
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TECTONIC FINANCIAL, INC. | PARENT COMPANY | |
| BALL, GEORGE LESTER | REGISTERED ASSOCIATE | 11332 |
| BLOCK, DAVID WILLIAM | OPERATIONS MANAGER | 2327799 |
| KUEBLER, ERICK GEORGE REVELLE | MANAGER, PRESIDENT | 2319437 |
| LYONS, PAUL DOUGLAS | FINOP, PRINCIPAL FINANCIAL OFFICER | 4900585 |
| MANGOLD, STEPHEN MICHAEL | CHIEF EXECUTIVE OFFICER | 2359974 |
| MANGOLD, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 2359974 |
| SHERMAN, ARTHUR HAAG | MANAGER | 2813406 |
Regulatory assets under management
| Total Number of Accounts | 613 |
| AUM (Assets Under Management) | $ 991,714,376 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
