DB
David W. Block
SANDERS MORRIS LLC
Houston, TX 77002
Some features on this profile are disabled
CRD#: 2327799
DB
Professional summary
David William Block, who also goes by David Block, is a registered financial professional currently at SANDERS MORRIS LLC located in Houston, Texas.
David is registered as a RR (Registered Representative) and started their career in finance in 1993. David has worked at 9 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Block
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.
CRS (Client Relationship Summary) - BD
Click below to view David William Block's 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®
NoneExperience
Current
June 17, 2013 - Present
SANDERS MORRIS LLC
Office #1: 600 Travis Suite 5900, Houston, TX 77002RIA
BD
CRD#: 20580
Houston, TX
Past
January 9, 2002 - May 30, 2013
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
October 5, 2001 - January 8, 2002
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
May 2, 2000 - April 26, 2001
KERSHNER TRADING GROUP, LLC
BD
CRD#: 16908
AUSTIN, TX
Past
September 1, 1999 - April 26, 2001
PROTRADER SECURITIES L.P.
BD
CRD#: 35233
AUSTIN, TX
Past
November 9, 1998 - July 29, 1999
SUMMIT TRADING, INC.
BD
CRD#: 43160
HOUSTON, TX
Past
April 22, 1998 - October 7, 1998
BLOCK TRADING INC.
BD
CRD#: 36666
HOUSTON, TX
Past
June 25, 1994 - February 17, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 18, 1993 - April 11, 1994
TEXAS CAPITAL SECURITIES, INC.
BD
CRD#: 25564
HOUSTON, 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".
SM
SANDERS MORRIS LLC
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
CRD#: 20580 / SEC#: 801-66300, 8-38325
RIA
Registered Investment Advisory firm - SEC (3/30/2006 Approved)BD
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.
RR
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
RR
Alabama(6/17/2013)
RR
Alaska(6/17/2013)
RR
Arizona(6/17/2013)
RR
Arkansas(6/17/2013)
RR
California(6/17/2013)
RR
Colorado(6/17/2013)
RR
Connecticut(6/17/2013)
RR
Delaware(6/17/2013)
RR
District of Columbia(6/17/2013)
RR
Florida(6/17/2013)
RR
Georgia(6/17/2013)
RR
Hawaii(6/17/2013)
RR
Idaho(6/17/2013)
RR
Illinois(6/17/2013)
RR
Indiana(6/17/2013)
RR
Iowa(6/17/2013)
RR
Kansas(6/17/2013)
RR
Kentucky(6/17/2013)
RR
Louisiana(6/17/2013)
RR
Maine(6/17/2013)
RR
Maryland(6/17/2013)
RR
Massachusetts(6/17/2013)
RR
Michigan(6/17/2013)
RR
Minnesota(6/17/2013)
RR
Mississippi(6/17/2013)
RR
Missouri(6/17/2013)
RR
Montana(6/17/2013)
RR
Nebraska(6/17/2013)
RR
Nevada(6/17/2013)
RR
New Hampshire(6/17/2013)
RR
New Jersey(6/17/2013)
RR
New Mexico(6/17/2013)
RR
New York(6/17/2013)
RR
North Carolina(6/18/2013)
RR
North Dakota(6/17/2013)
RR
Ohio(6/18/2013)
RR
Oklahoma(6/17/2013)
RR
Oregon(6/17/2013)
RR
Pennsylvania(6/17/2013)
RR
Puerto Rico(6/17/2013)
RR
Rhode Island(6/17/2013)
RR
South Carolina(6/17/2013)
RR
South Dakota(6/17/2013)
RR
Tennessee(9/7/2018)
RR
Texas(6/17/2013)
RR
Utah(6/17/2013)
RR
Vermont(6/17/2013)
RR
Virgin Islands(6/17/2013)
RR
Virginia(6/17/2013)
RR
Washington(6/17/2013)
RR
West Virginia(6/17/2013)
RR
Wisconsin(6/17/2013)
RR
Wyoming(6/17/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/12/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SM
SANDERS MORRIS LLC
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
CRD#: 20580 / SEC#: 801-66300, 8-38325
RIA
Registered Investment Advisory firm - SEC (3/30/2006 Approved)BD
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
28
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.
Company Information
SANDERS MORRIS LLC
CRD#: 20580Houston, TX 77002TRUST BUT VERIFY
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