Robert E. Garrison
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.
Robert Edward Garrison, who also goes by Bob Garrison, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 7 firms and has passed the Series 63, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2000 - March 2, 2012
SANDERS MORRIS LLC
March 26, 1991 - February 1, 2000
HARRIS WEBB & GARRISON, INC.
January 31, 1990 - June 25, 1990
PHOENIX DERIVATIVES GROUP, LLC
August 18, 1988 - April 4, 1989
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
September 1, 1987 - September 1, 1988
BOETTCHER & COMPANY, INC.
January 11, 1983 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
March 1, 1972 - January 10, 1983
UNDERWOOD, NEUHAUS & CO., 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
Series 12
Date: 5/23/1975
NYSE Branch Manager ExaminationSeries 40
Date: 3/24/1972
Registered Principal 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.
