GA
George H. Arnold
SANDERS MORRIS LLC
Houston, TX 77002
Some features on this profile are disabled
CRD#: 1779940
GA
Professional summary
George Henry Arnold 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 1988. George has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view George Henry Arnold's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George Henry Arnold'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
October 1, 2010 - Present
SANDERS MORRIS LLC
Office #1: 600 Travis Suite 5900, Houston, TX 77002RIA
BD
CRD#: 20580
Houston, TX
Current
October 1, 2010 - Present
SANDERS MORRIS LLC
Office #1: 600 Travis Suite 5900, Houston, TX 77002RIA
BD
CRD#: 20580
Houston, TX
Past
June 8, 2016 - December 31, 2018
MILLER-GREEN FINANCIAL SERVICES LLC
RIA
CRD#: 110949
HOUSTON, TX
Past
March 19, 2009 - October 1, 2010
ABSHIER WEBB DONNELLY & BAKER, INC.
RIA
CRD#: 104051
HOUSTON, TX
Past
March 19, 2009 - October 1, 2010
ABSHIER WEBB DONNELLY & BAKER, INC.
BD
CRD#: 104051
HOUSTON, TX
Past
March 21, 2003 - March 17, 2009
STANFORD GROUP COMPANY
RIA
CRD#: 39285
HOUSTON, TX
Past
March 14, 2003 - March 17, 2009
STANFORD GROUP COMPANY
BD
CRD#: 39285
HOUSTON, TX
Past
January 8, 2001 - March 19, 2003
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
HOUSTON, TX
Past
January 8, 2001 - March 19, 2003
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
June 30, 1995 - February 1, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 18, 1990 - July 13, 1995
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 20, 1988 - June 21, 1990
F.N. WOLF & CO., INC.
BD
CRD#: 13051
Past
January 19, 1988 - June 1, 1988
SHERWOOD CAPITAL, INC.
BD
CRD#: 10474
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
Alabama(6/10/2011)
IAR
Alabama(3/1/2013)
RR
Alaska(6/22/2016)
RR
Arizona(10/1/2010)
IAR
Arizona(11/8/2010)
RR
Arkansas(10/1/2010)
RR
California(10/1/2010)
IAR
California(11/4/2010)
RR
Colorado(10/1/2010)
IAR
Colorado(11/4/2010)
RR
Connecticut(4/4/2011)
IAR
Connecticut(4/4/2011)
RR
Delaware(4/11/2011)
IAR
Delaware(4/11/2011)
RR
District of Columbia(10/1/2010)
RR
Florida(10/22/2010)
IAR
Florida(11/4/2010)
RR
Georgia(7/1/2011)
IAR
Georgia(7/5/2011)
RR
Hawaii(10/18/2010)
IAR
Hawaii(11/3/2010)
RR
Idaho(2/28/2013)
IAR
Idaho(3/4/2013)
IAR
Illinois(3/31/2011)
RR
Illinois(4/1/2011)
RR
Indiana(2/28/2013)
IAR
Indiana(2/28/2013)
RR
Iowa(2/28/2013)
IAR
Iowa(3/5/2013)
RR
Kansas(2/28/2013)
IAR
Kansas(3/4/2013)
RR
Kentucky(3/21/2012)
IAR
Kentucky(9/11/2025)
RR
Louisiana(10/22/2010)
IAR
Louisiana(9/4/2025)
RR
Maine(2/28/2013)
IAR
Maine(3/4/2013)
RR
Maryland(2/28/2013)
RR
Massachusetts(8/15/2016)
RR
Michigan(10/21/2011)
RR
Minnesota(2/28/2013)
RR
Mississippi(6/7/2011)
RR
Missouri(2/28/2013)
IAR
Missouri(3/1/2013)
RR
Montana(2/28/2013)
IAR
Montana(3/1/2013)
RR
Nebraska(6/28/2012)
IAR
Nebraska(6/28/2012)
RR
Nevada(2/28/2013)
IAR
Nevada(9/4/2025)
RR
New Hampshire(2/28/2013)
IAR
New Hampshire(3/5/2013)
RR
New Jersey(2/6/2013)
IAR
New Jersey(2/11/2013)
RR
New Mexico(10/1/2010)
IAR
New Mexico(11/4/2010)
RR
New York(6/26/2012)
IAR
New York(9/4/2025)
RR
North Carolina(3/4/2013)
IAR
North Carolina(3/6/2013)
RR
North Dakota(2/28/2013)
IAR
North Dakota(3/4/2013)
RR
Ohio(10/1/2010)
IAR
Ohio(11/10/2010)
RR
Oklahoma(2/21/2013)
IAR
Oklahoma(9/4/2025)
RR
Oregon(2/28/2013)
IAR
Oregon(2/28/2013)
RR
Pennsylvania(10/1/2010)
IAR
Pennsylvania(11/4/2010)
RR
Rhode Island(2/28/2013)
RR
South Carolina(9/22/2011)
RR
South Dakota(2/28/2013)
IAR
South Dakota(3/1/2013)
RR
Tennessee(3/15/2013)
RR
Texas(10/1/2010)
IAR
Texas(10/1/2010)
RR
Utah(2/28/2013)
IAR
Utah(3/4/2013)
RR
Vermont(2/28/2013)
RR
Virginia(1/24/2012)
IAR
Virginia(1/24/2012)
RR
Washington(3/31/2011)
IAR
Washington(3/31/2011)
RR
West Virginia(2/28/2013)
IAR
West Virginia(3/1/2013)
RR
Wisconsin(5/22/2012)
RR
Wyoming(2/28/2013)
IAR
Wyoming(9/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO 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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