Herbert T. Hunt

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CRD#: 1632226

Professional summary

Herbert Tyrone Hunt was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Herbert is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Herbert had worked at 12 firms, which includes SANDERS MORRIS LLC, RYAN BECK & CO., BUTLER WICK & CO. INC., LEHMAN BROTHERS INC., ROULSTON RESEARCH CORP., STIFEL NICOLAUS & COMPANY INCORPORATED, COWEN AND COMPANY, FINANCIAL SQUARE PARTNERS, KEYBANC CAPITAL MARKETS INC., WELLS FARGO CLEARING SERVICES LLC, PRESCOTT BALL & TURBEN INC., E. F. HUTTON & COMPANY INC.

Question & Answer

Are you a "fiduciary"?

Aliases

H Ty Hunt | H Tyrone Hunt | Ty Hunt

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

November 20, 2006 - January 17, 2008

SANDERS MORRIS LLC

CRD#: 20580

BEACHWOOD, OH

Past

June 28, 2006 - November 30, 2006

RYAN BECK & CO.

CRD#: 3248

PEPPER PIKE, OH

Past

December 1, 2005 - July 12, 2006

SANDERS MORRIS LLC

CRD#: 20580

SOLON, OH

Past

May 24, 2005 - December 13, 2005

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

August 30, 2002 - May 23, 2005

BUTLER, WICK & CO., INC.

CRD#: 120

YOUNGSTOWN, OH

Past

December 15, 2000 - September 9, 2002

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 24, 2000 - December 4, 2000

ROULSTON RESEARCH CORP.

CRD#: 17864

CLEVELAND, OH

Past

November 6, 1998 - February 9, 2000

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

Past

July 1, 1998 - November 17, 1998

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

March 20, 1995 - July 1, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

July 24, 1992 - March 28, 1995

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

September 4, 1990 - July 30, 1992

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

March 8, 1988 - September 4, 1990

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

Past

February 15, 1988 - April 19, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

March 24, 1987 - February 15, 1988

E. F. HUTTON & COMPANY INC

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".

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: 2/17/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/9/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/25/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/16/2002

General Securities Sales Supervisor - Options Module 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 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.

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Firm Stability Insights

Herbert T. Hunt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RYAN BECK & CO.

SANDERS MORRIS LLC

RYAN BECK & CO.

BUTLER, WICK & CO., INC.

LEHMAN BROTHERS INC.

ROULSTON RESEARCH CORP.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

KEYBANC CAPITAL MARKETS INC.

WELLS FARGO CLEARING SERVICES, LLC

PRESCOTT, BALL & TURBEN, INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

SANDERS MORRIS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/17/1999

Series 63

Date: 4/9/1987

Series 7

Date: 3/21/1987

Series 10

Date: 2/25/2002

Series 9

Date: 2/16/2002

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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