Stephen Wayne Fitzpatrick
Professional Summary
Stephen Wayne Fitzpatrick, who also goes by Stephen Wayne Fitzpatrick, is a registered financial advisor currently at SANDERS MORRIS LLC located in Dallas, Texas. Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen Wayne Fitzpatrick
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
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
Contact Information
Main Address
600 Travis Suite 5900, Houston, TX 77002-3003Mailing Address
600 Travis Suite 5900, Houston, TX 77002-3003Phone Number
(713) 250-4222Established
Texas since 09/01/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
27SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TECTONIC FINANCIAL, INC. | PARENT COMPANY | — |
| KUEBLER, ERICK GEORGE REVELLE | CHIEF EXECUTIVE OFFICER | 2319437 |
| BALL, GEORGE LESTER | REGISTERED ASSOCIATE | 11332 |
| BLOCK, DAVID WILLIAM | OPERATIONS MANAGER | 2327799 |
| HUNT, DAVID LEE | CHIEF COMPLIANCE OFFICER | 2772872 |
| LYONS, PAUL DOUGLAS | FINOP, PRINCIPAL FINANCIAL OFFICER | 4900585 |
| SHERMAN, ARTHUR HAAG | MANAGER | 2813406 |
Regulatory Assets Under Management
Total Number of Accounts
359AUM (Assets Under Management)
$576,142,421Disclosures
Regulatory Event
16Civil Event
1Arbitration
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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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
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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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen Wayne Fitzpatrick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Wayne Fitzpatrick's CRS (Customer Relationship Summary).
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