Stephen W. Fitzpatrick

SANDERS MORRIS LLC

Dallas, TX 75225

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CRD#: 2260159

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Wayne Fitzpatrick

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) - RIA

Click below to view Stephen Wayne Fitzpatrick's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Stephen Wayne Fitzpatrick's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 7, 2017 - Present

SANDERS MORRIS LLC

Office #1: 5950 Sherry Lane Suite 470, Dallas, TX 75225

RIA

CRD#: 20580

Dallas, TX

Current

October 20, 2016 - Present

SANDERS MORRIS LLC

Office #1: 5950 Sherry Lane Suite 470, Dallas, TX 75225

RIA

CRD#: 20580

Dallas, TX

Past

December 1, 2005 - December 15, 2005

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

DALLAS, TX

Past

April 20, 2001 - December 2, 2005

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

DALLAS, TX

Past

April 20, 2001 - December 1, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

August 4, 1995 - May 3, 2001

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

November 20, 1992 - August 11, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 3, 1992 - November 6, 1992

FIRST WESTERN SECURITIES, INC.

CRD#: 19537

HURST, TX

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(10/24/2016)

IAR

Alabama
(9/2/2022)

Alaska
(10/24/2016)

IAR

Alaska
(9/16/2022)

Arizona
(10/24/2016)

IAR

Arizona
(9/19/2022)

Arkansas
(10/24/2016)

California
(10/24/2016)

IAR

California
(9/2/2022)

Colorado
(10/24/2016)

IAR

Colorado
(9/6/2022)

Connecticut
(10/24/2016)

IAR

Connecticut
(9/2/2022)

Delaware
(10/24/2016)

IAR

Delaware
(9/6/2022)

District of Columbia
(10/24/2016)

Florida
(10/24/2016)

IAR

Florida
(9/6/2022)

Georgia
(10/24/2016)

IAR

Georgia
(9/6/2022)

Hawaii
(10/24/2016)

IAR

Hawaii
(9/6/2022)

Idaho
(10/24/2016)

IAR

Idaho
(9/6/2022)

Illinois
(10/24/2016)

IAR

Illinois
(9/2/2022)

Indiana
(10/24/2016)

IAR

Indiana
(9/6/2022)

Iowa
(10/24/2016)

IAR

Iowa
(9/8/2022)

Kansas
(10/24/2016)

IAR

Kansas
(9/2/2022)

Kentucky
(10/24/2016)

Louisiana
(10/24/2016)

IAR

Louisiana
(9/6/2022)

Maine
(10/24/2016)

IAR

Maine
(9/2/2022)

Maryland
(10/24/2016)

Massachusetts
(10/24/2016)

Michigan
(10/24/2016)

Minnesota
(10/24/2016)

IAR

Minnesota
(9/2/2022)

Mississippi
(10/24/2016)

Missouri
(10/24/2016)

IAR

Missouri
(9/6/2022)

Montana
(10/24/2016)

IAR

Montana
(9/2/2022)

Nebraska
(11/13/2017)

IAR

Nebraska
(9/2/2022)

Nevada
(10/24/2016)

New Hampshire
(10/24/2016)

IAR

New Hampshire
(9/6/2022)

New Jersey
(10/24/2016)

IAR

New Jersey
(9/2/2022)

New Mexico
(10/24/2016)

IAR

New Mexico
(9/2/2022)

New York
(10/24/2016)

IAR

New York
(9/2/2022)

North Carolina
(10/25/2016)

IAR

North Carolina
(9/6/2022)

North Dakota
(10/24/2016)

IAR

North Dakota
(9/6/2022)

Ohio
(10/24/2016)

IAR

Ohio
(9/2/2022)

Oklahoma
(10/24/2016)

Oregon
(10/24/2016)

IAR

Oregon
(9/2/2022)

Pennsylvania
(10/24/2016)

IAR

Pennsylvania
(9/2/2022)

Puerto Rico
(10/24/2016)

IAR

Puerto Rico
(9/6/2022)

Rhode Island
(10/24/2016)

South Carolina
(10/24/2016)

South Dakota
(10/24/2016)

IAR

South Dakota
(9/2/2022)

Tennessee
(10/24/2016)

Texas
(10/20/2016)

IAR

Texas
(8/7/2017)

Utah
(10/24/2016)

IAR

Utah
(9/2/2022)

Vermont
(10/24/2016)

Virgin Islands
(10/24/2016)

IAR

Virgin Islands
(9/7/2022)

Virginia
(10/24/2016)

IAR

Virginia
(9/7/2022)

Washington
(10/24/2016)

IAR

Washington
(9/2/2022)

West Virginia
(10/24/2016)

IAR

West Virginia
(9/6/2022)

Wisconsin
(10/24/2016)

Wyoming
(10/24/2016)

IAR

Wyoming
(9/2/2022)

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

State Security Law Exam

IAR

Series 65

Date: 8/7/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/22/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/30/2016

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 2/3/2000

National Commodity Futures Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

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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Advisor Monitoring

Firm Stability Insights

Stephen W. Fitzpatrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

SANDERS MORRIS LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

J.P. MORGAN SECURITIES LLC

PRUDENTIAL EQUITY GROUP, LLC

FIRST WESTERN SECURITIES, INC.

Primary Firm SEC Registration

SANDERS MORRIS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/7/2017

Series 63

Date: 9/22/2016

SIE

Date: 10/1/2018

Series 7

Date: 8/30/2016

Series 3

Date: 2/3/2000

FINRA

Nasdaq Stock Market

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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