KS
Kenneth W. Smith
SANDERS MORRIS LLC
Dallas, TX 75225
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CRD#: 2329728
KS
Professional summary
Kenneth Wayne Smith Jr, who also goes by Kenneth W Smith Jr, Kenneth Wayne Smith, is a registered financial professional currently at SANDERS MORRIS LLC located in Dallas, Texas.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1993. Kenneth has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kenneth W Smith Jr | Kenneth Wayne Smith
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 Kenneth Wayne Smith Jr'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
September 19, 2019 - Present
SANDERS MORRIS LLC
Office #1: 5950 Sherry Lane Suite 470, Dallas, TX 75225RIA
BD
CRD#: 20580
Dallas, TX
Past
August 4, 2010 - November 10, 2014
HAYMAN CAPITAL MANAGEMENT LP
RIA
CRD#: 146896
DALLAS, TX
Past
April 16, 2010 - June 1, 2010
SMITH GROUP ASSET MANAGEMENT
RIA
CRD#: 106301
DALLAS, TX
Past
January 13, 2004 - November 9, 2005
S&P INVESTORS, INC.
BD
CRD#: 18421
DALLAS, TX
Past
January 31, 2000 - March 18, 2002
PEMBROOK SECURITIES, INC.
BD
CRD#: 18779
DALLAS, TX
Past
October 12, 1993 - January 25, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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
Texas(10/21/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/19/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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#: 20580Dallas, TX 75225TRUST BUT VERIFY
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