George D. Smith

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CRD#: 1123855

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.

George Dean Smith was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1983. George had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 29, 1997 - April 11, 2001

SANDERS MORRIS LLC

CRD#: 20580

HOUSTON, TX

Past

June 3, 1996 - October 29, 1997

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

March 23, 1990 - November 8, 1995

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

February 9, 1987 - March 27, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 13, 1986 - March 11, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

March 29, 1984 - January 20, 1986

JEFFERIES LLC

CRD#: 2347

Past

April 20, 1983 - February 29, 1984

PERSHING LLC

CRD#: 7560

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SANDERS MORRIS LLC

CRD#: 20580 / SEC#: 801-66300, 8-38325

RIA

Registered Investment Advisory firm - SEC (3/30/2006 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/23/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/26/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 9/10/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/10/1984

General Securities Principal Examination

Current Firm

SANDERS MORRIS LLC

CRD#: 20580 / SEC#: 801-66300, 8-38325

RIA

Registered Investment Advisory firm - SEC (3/30/2006 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

600 Travis Suite 5900, Houston, TX 77002-3003

Mailing Address

600 Travis Suite 5900, Houston, TX 77002-3003

Phone number

(713) 250-4222

Established

Texas since 09/01/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 - MANAGED ASSET PROGRAM (MAP) WRAP FEE PROGRAM BROCHURE (3/24/2025)

FORM ADV PART 2A-INVESTMENT ADVISORY SERVICES BROUCHURE (3/24/2025)

FORM ADV PART 2A APPENDIX 1 - FOCUS ASSET MANAGEMENT PROGRAM (3/24/2025)

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.

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Firm Stability Insights

George D. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RODMAN & RENSHAW INC.

PERSHING LLC

UBS FINANCIAL SERVICES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

JEFFERIES LLC

PERSHING LLC

Primary Firm SEC Registration

SANDERS MORRIS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/23/1999

Series 63

Date: 4/26/1983

Series 3

Date: 9/10/1990

Series 7

Date: 4/16/1983

Series 24

Date: 8/10/1984

Current Firm

SANDERS MORRIS LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SANDERS MORRIS LLC

TRUST BUT VERIFY

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