Scott B. Gann
Professional summary
Scott B Gann was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Scott had worked at 9 firms, which includes SANDERS MORRIS LLC, SMH CAPITAL ADVISORS LLC, HILLTOP SECURITIES INC., RBC CAPITAL MARKETS LLC, STEPHENS, WELLS FARGO CLEARING SERVICES LLC, PRINCIPAL FINANCIAL SECURITIESINC., J.P. MORGAN SECURITIES LLC, CULLUM & SANDOW SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2007 - January 6, 2009
SANDERS MORRIS LLC
May 11, 2005 - December 31, 2006
SMH CAPITAL ADVISORS LLC
May 10, 2004 - January 6, 2009
SANDERS MORRIS LLC
February 25, 2002 - April 20, 2004
HILLTOP SECURITIES INC.
February 5, 2002 - April 20, 2004
HILLTOP SECURITIES INC.
September 20, 2000 - January 23, 2002
RBC CAPITAL MARKETS, LLC
October 5, 1999 - September 20, 2000
STEPHENS
May 11, 1998 - November 3, 1999
WELLS FARGO CLEARING SERVICES, LLC
August 26, 1996 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
June 3, 1994 - August 15, 1996
J.P. MORGAN SECURITIES LLC
May 17, 1994 - June 29, 1994
CULLUM & SANDOW SECURITIES, INC.
Primary Firm SEC Registration
SANDERS MORRIS LLC
CRD#: 20580 / SEC#: 801-66300, 8-38325
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SANDERS MORRIS LLC
CRD#: 20580 / SEC#: 801-66300, 8-38325
Contact information
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 | |
| 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 |
| KUEBLER, ERICK GEORGE REVELLE | MANAGER, PRESIDENT | 2319437 |
| LYONS, PAUL DOUGLAS | FINOP, PRINCIPAL FINANCIAL OFFICER | 4900585 |
| 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
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