Robert L. Kinney
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Larry Kinney, who also goes by Larry Kinney, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 7 firms and has passed the Series 63, Series 55, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 1996 - July 2, 2012
SANDERS MORRIS LLC
June 8, 1993 - June 12, 1995
SOUNDVIEW TECHNOLOGY CORPORATION
February 2, 1990 - May 7, 1993
ABN AMRO SECURITIES LLC
July 12, 1988 - December 20, 1989
WACHOVIA SECURITIES, INC.
May 14, 1988 - July 11, 1988
LEHMAN BROTHERS INC.
April 4, 1973 - May 14, 1988
E. F. HUTTON & COMPANY INC
July 12, 1972 - June 7, 1973
BLYTH EASTMAN DILLON & CO. INCORPORATED
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
Series 55
Date: 2/23/1999
Limited Representative-Equity Trader ExamPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 7/10/1972
Registered Representative ExaminationCurrent 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 | |
| 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 EXECUTIVE OFFICER | 2359974 |
| MANGOLD, STEPHEN MICHAEL | CHIEF COMPLIANCE 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.
