Scott B. Gann

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CRD#: 2383206

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

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 4, 2007 - January 6, 2009

SANDERS MORRIS LLC

RIA

CRD#: 20580

DALLAS, TX

Past

May 11, 2005 - December 31, 2006

SMH CAPITAL ADVISORS LLC

RIA

CRD#: 108344

DALLAS, TX

Past

May 10, 2004 - January 6, 2009

SANDERS MORRIS LLC

CRD#: 20580

DALLAS, TX

Past

February 25, 2002 - April 20, 2004

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

DALLAS, TX

Past

February 5, 2002 - April 20, 2004

HILLTOP SECURITIES INC.

CRD#: 6220

DALLAS, TX

Past

September 20, 2000 - January 23, 2002

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

October 5, 1999 - September 20, 2000

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

May 11, 1998 - November 3, 1999

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

August 26, 1996 - May 11, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

June 3, 1994 - August 15, 1996

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 17, 1994 - June 29, 1994

CULLUM & SANDOW SECURITIES, INC.

CRD#: 15836

DALLAS, 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/16/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/17/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/12/1994

General Securities Representative Examination

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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Scott B. Gann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SMH CAPITAL ADVISORS LLC

SANDERS MORRIS LLC

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

RBC CAPITAL MARKETS, LLC

STEPHENS

WELLS FARGO CLEARING SERVICES, LLC

PRINCIPAL FINANCIAL SECURITIES,INC.

J.P. MORGAN SECURITIES LLC

CULLUM & SANDOW SECURITIES, INC.

Primary Firm SEC Registration

SANDERS MORRIS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/16/2003

Series 63

Date: 9/17/1993

Series 7

Date: 5/12/1994

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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