Steve H. Gott
Professional summary
Steve Howell Gott, who also goes by Stephen Howell Gott, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Houston, Texas and FROST BROKERAGE SERVICES, INC. located in Houston, Texas.
Steve is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Steve has worked at 13 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 87, Series 7, Series 14, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steve Howell Gott's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2023 - Present
FROST INVESTMENT SERVICES
Office #1: 1 Blvd Place 1700 Post Oak Blvd Houston, Houston, TX 77056March 6, 2023 - Present
FROST BROKERAGE SERVICES, INC.
Office #1: 1700 Post Oak Blvd, Houston, TX 77056June 30, 2021 - February 24, 2023
U.S. CAPITAL WEALTH ADVISORS, LLC
March 5, 2015 - August 24, 2021
USCA ASSET MANAGEMENT LLC
May 1, 2012 - June 30, 2021
USCA RIA LLC
May 1, 2012 - February 27, 2023
USCA SECURITIES LLC
August 30, 2011 - April 23, 2012
GLOBAL FINANCIAL SERVICES, L.L.C.
July 19, 2011 - April 23, 2012
SANDERS MORRIS LLC
July 19, 2011 - April 23, 2012
SANDERS MORRIS LLC
February 11, 2011 - March 5, 2012
COWEN PRIME SERVICES LLC
November 15, 2000 - March 31, 2009
STANFORD GROUP COMPANY
August 2, 1999 - March 31, 2009
STANFORD GROUP COMPANY
March 15, 1994 - July 30, 1999
PRUDENTIAL EQUITY GROUP, LLC
September 10, 1990 - March 18, 1994
J.P. MORGAN SECURITIES OF TEXAS, INC.
May 1, 1990 - June 29, 1990
TRADESTAR INVESTMENTS,INC.
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/6/2023)
(3/6/2023)
Exams
Series 52TO
Date: 3/6/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
Red Flags
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