Tommy Forrester
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.
Tommy Forrester was a registered financial professional .
Tommy is a previously registered financial professional and started their career in finance in 1964. Tommy had worked at 9 firms and has passed the Series 63, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2003 - August 13, 2009
SANDERS MORRIS LLC
June 28, 1999 - December 5, 2003
PIPER SANDLER & CO.
March 2, 1998 - June 23, 1999
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
August 26, 1994 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
September 7, 1977 - July 15, 1979
PRINCIPAL FINANCIAL SECURITIES,INC.
March 29, 1974 - October 7, 1977
RAUSCHER PIERCE REFSNES, INC.
November 18, 1970 - March 29, 1974
RAUSCHER PIERCE SECURITIES CORPORATION
September 17, 1969 - November 2, 1973
RAUSCHER PIERCE SECURITIES CORPORATION
December 2, 1964 - July 22, 1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Primary Firm SEC Registration
SANDERS MORRIS LLC
CRD#: 20580 / SEC#: 801-66300, 8-38325
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 11/14/1979
AMEX Put and Call ExamSeries 000
Date: 12/2/1964
General Securities Principal ExaminationSeries 1
Date: 12/2/1964
Registered Representative ExaminationCurrent Firm
SANDERS MORRIS LLC
CRD#: 20580 / SEC#: 801-66300, 8-38325
Contact information
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.
