GB
George L. Ball
SANDERS MORRIS LLC
Houston, TX 77002
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CRD#: 11332
GB
Professional summary
George Lester Ball is a registered financial advisor currently at SANDERS MORRIS LLC located in Houston, Texas.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. George has worked at 5 firms and has passed the Series 66, Series 52TO, Series 79TO, Series 7TO, Series 99TO, SIE, Series 1, Series 24, Series 53, Series 4 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Sewell Development Group LLC, Investment Related, Houston, TX, Director/Officer, 7/2013, 1 hr per month, 0 during Securities Trading, limited partner. 2) Global Financial Services, LLC. Investment Related, Houston TX, Board of Directors, 10/2014, 1 hr per month during business hours, Board of Director duties, no compensation.
CRS (Client Relationship Summary) - RIA
Click below to view George Lester Ball's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George Lester Ball's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 30, 2011 - Present
SANDERS MORRIS LLC
Office #1: 600 Travis Suite 5900, Houston, TX 77002Office #2: 5950 Sherry Lane Suite 470, Dallas, TX 75225RIA
BD
CRD#: 20580
Houston, TX
Current
March 3, 1992 - Present
SANDERS MORRIS LLC
Office #1: 600 Travis Suite 5900, Houston, TX 77002Office #2: 5950 Sherry Lane Suite 470, Dallas, TX 75225RIA
BD
CRD#: 20580
Houston, TX
Past
January 26, 2011 - September 21, 2016
GLOBAL FINANCIAL SERVICES, L.L.C.
BD
CRD#: 35699
HOUSTON, TX
Past
April 6, 1993 - February 1, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 5, 1982 - September 19, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
December 4, 1969 - July 30, 1982
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
SM
SANDERS MORRIS LLC
CUMMER MOYERS FINANCIAL SERVICES | SMH PARTNERS | SMH COLORADO | SMH CAPITAL INC. | SMH CAPITAL ADVISORS, LLC | SMH ASSET MANAGEMENT | SANDERS MORRIS, LLC | SANDERS MORRIS MUNDY INC. | SANDERS MORRIS LLC | SANDERS MORRIS HARRIS LLC | SANDERS MORRIS HARRIS INC. | SANDERS MORRIS HARRIS | SANDERS MORRIS & MUNDY INC. | SANDERS MORRIS | KISSINGER FINANCIAL SERVICES
CRD#: 20580 / SEC#: 801-66300, 8-38325
RIA
Registered Investment Advisory firm - SEC (3/30/2006 Approved)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(11/17/2004)
RR
Connecticut(3/17/1992)
RR
District of Columbia(1/27/2005)
RR
Florida(4/16/1992)
RR
Maine(11/23/2004)
RR
Maryland(11/9/2004)
RR
New Jersey(3/20/1992)
RR
New York(3/27/1992)
RR
Ohio(11/9/2004)
RR
Puerto Rico(5/15/2009)
RR
Texas(3/5/1992)
IAR
Texas(8/30/2011)
RR
Vermont(11/17/2004)
RR
Washington(11/9/2004)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/14/1962
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 12/1/1969
Registered Principal ExaminationSRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SM
SANDERS MORRIS LLC
CUMMER MOYERS FINANCIAL SERVICES | SMH PARTNERS | SMH COLORADO | SMH CAPITAL INC. | SMH CAPITAL ADVISORS, LLC | SMH ASSET MANAGEMENT | SANDERS MORRIS, LLC | SANDERS MORRIS MUNDY INC. | SANDERS MORRIS LLC | SANDERS MORRIS HARRIS LLC | SANDERS MORRIS HARRIS INC. | SANDERS MORRIS HARRIS | SANDERS MORRIS & MUNDY INC. | SANDERS MORRIS | KISSINGER FINANCIAL SERVICES
CRD#: 20580 / SEC#: 801-66300, 8-38325
RIA
Registered Investment Advisory firm - SEC (3/30/2006 Approved)BD
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
28
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 COMPLIANCE OFFICER | 2359974 |
| MANGOLD, STEPHEN MICHAEL | CHIEF EXECUTIVE 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.
Company Information
SANDERS MORRIS LLC
CRD#: 20580Houston, TX 77002TRUST BUT VERIFY
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