Timothy R. Clancy

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CRD#: 2224476

Professional summary

Timothy Richard Clancy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Timothy is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Timothy had worked at 10 firms, which includes SANDERS MORRIS LLC, CAPITAL GROWTH FINANCIAL LLC, BROOKSTREET SECURITIES CORPORATION, JANNEY MONTGOMERY SCOTT LLC, LADENBURG THALMANN & CO. INC., MESIROW FINANCIAL INC., PRUDENTIAL EQUITY GROUP LLC, ADVEST INC., D. BLECH & COMPANY INCORPORATED, CHATFIELD DEAN & CO. INC..

Question & Answer

Are you a "fiduciary"?

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.

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

February 15, 2008 - March 17, 2009

SANDERS MORRIS LLC

CRD#: 20580

BOCA RATON, FL

Past

August 2, 2004 - February 8, 2008

CAPITAL GROWTH FINANCIAL, LLC

CRD#: 41040

BOCA RATON, FL

Past

November 15, 2002 - August 3, 2004

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

SAN JUAN CAPISTRANO, CA

Past

July 12, 1999 - December 3, 2002

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

July 2, 1997 - July 15, 1999

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

April 17, 1996 - July 1, 1997

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

March 22, 1995 - April 10, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 14, 1994 - April 6, 1995

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

April 6, 1994 - July 26, 1994

D. BLECH & COMPANY, INCORPORATED

CRD#: 26063

NEW YORK, NY

Past

July 28, 1992 - April 8, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 1, 1992 - July 24, 1992

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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

Series 63

Date: 5/6/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/29/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/10/2002

General Securities Principal 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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Timothy R. Clancy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL GROWTH FINANCIAL, LLC

BROOKSTREET SECURITIES CORPORATION

JANNEY MONTGOMERY SCOTT LLC

LADENBURG THALMANN & CO. INC.

MESIROW FINANCIAL, INC.

PRUDENTIAL EQUITY GROUP, LLC

ADVEST, INC.

D. BLECH & COMPANY, INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

SANDERS MORRIS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/6/1992

Series 7

Date: 4/29/1992

Series 24

Date: 12/10/2002

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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