ND
Nancy E. Dixon
SANDERS MORRIS LLC
Dallas, TX 75225
Some features on this profile are disabled
CRD#: 2806279
ND
Professional summary
Nancy Elaine Dixon, who also goes by Nancy E Dixon, Nancy Wortham, is a registered financial advisor currently at SANDERS MORRIS LLC located in Dallas, Texas.
Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Nancy has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24, Series 23, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nancy E Dixon | Nancy Wortham
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) - RIA
Click below to view Nancy Elaine Dixon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nancy Elaine Dixon'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
January 31, 2019 - Present
SANDERS MORRIS LLC
Office #1: 5950 Sherry Lane Suite 470, Dallas, TX 75225RIA
BD
CRD#: 20580
Dallas, TX
Current
October 14, 2016 - Present
SANDERS MORRIS LLC
Office #1: 5950 Sherry Lane Suite 470, Dallas, TX 75225RIA
BD
CRD#: 20580
Dallas, TX
Past
March 24, 2017 - January 8, 2026
TECTONIC ADVISORS LLC
RIA
CRD#: 139713
FRISCO, TX
Past
July 27, 2006 - September 8, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
DALLAS, TX
Past
July 18, 2006 - September 8, 2016
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
DALLAS, TX
Past
December 9, 2003 - September 27, 2005
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
DALLAS, TX
Past
December 9, 2003 - September 27, 2005
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
August 18, 2003 - December 16, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
DALLAS, TX
Past
August 18, 2003 - December 16, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
August 7, 2002 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
RIA
CRD#: 26091
DALLAS, TX
Past
August 7, 2002 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
January 27, 1998 - August 12, 2002
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
PLANO, TX
Past
January 26, 1998 - August 12, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(10/14/2016)
IAR
Alabama(9/1/2022)
RR
Alaska(10/14/2016)
IAR
Alaska(9/16/2022)
RR
Arizona(10/14/2016)
IAR
Arizona(9/19/2022)
RR
Arkansas(10/14/2016)
RR
California(10/14/2016)
IAR
California(9/1/2022)
RR
Colorado(10/14/2016)
IAR
Colorado(9/8/2022)
RR
Connecticut(10/14/2016)
IAR
Connecticut(9/1/2022)
RR
Delaware(10/14/2016)
IAR
Delaware(9/6/2022)
RR
District of Columbia(10/14/2016)
RR
Florida(10/14/2016)
IAR
Florida(9/2/2022)
RR
Georgia(10/14/2016)
IAR
Georgia(9/6/2022)
RR
Hawaii(10/14/2016)
IAR
Hawaii(9/2/2022)
RR
Idaho(10/14/2016)
IAR
Idaho(9/6/2022)
RR
Illinois(10/14/2016)
IAR
Illinois(9/2/2022)
RR
Indiana(10/14/2016)
IAR
Indiana(9/6/2022)
RR
Iowa(10/14/2016)
IAR
Iowa(9/8/2022)
RR
Kansas(10/14/2016)
IAR
Kansas(9/2/2022)
RR
Kentucky(10/14/2016)
RR
Louisiana(10/14/2016)
IAR
Louisiana(9/6/2022)
RR
Maine(10/14/2016)
IAR
Maine(9/2/2022)
RR
Maryland(10/14/2016)
RR
Massachusetts(10/14/2016)
RR
Michigan(10/14/2016)
RR
Minnesota(10/14/2016)
IAR
Minnesota(9/6/2022)
RR
Mississippi(10/14/2016)
RR
Missouri(10/14/2016)
IAR
Missouri(9/1/2022)
RR
Montana(10/14/2016)
IAR
Montana(9/1/2022)
RR
Nebraska(11/13/2017)
IAR
Nebraska(9/1/2022)
RR
Nevada(10/14/2016)
RR
New Hampshire(10/14/2016)
IAR
New Hampshire(9/6/2022)
RR
New Jersey(10/14/2016)
IAR
New Jersey(9/2/2022)
RR
New Mexico(10/14/2016)
IAR
New Mexico(9/2/2022)
RR
New York(10/14/2016)
IAR
New York(9/1/2022)
RR
North Carolina(10/14/2016)
IAR
North Carolina(9/6/2022)
RR
North Dakota(10/14/2016)
IAR
North Dakota(9/6/2022)
RR
Ohio(10/14/2016)
IAR
Ohio(9/2/2022)
RR
Oklahoma(10/14/2016)
RR
Oregon(10/14/2016)
IAR
Oregon(9/2/2022)
RR
Pennsylvania(10/14/2016)
IAR
Pennsylvania(9/2/2022)
RR
Puerto Rico(10/14/2016)
IAR
Puerto Rico(9/6/2022)
RR
Rhode Island(10/14/2016)
RR
South Carolina(10/14/2016)
RR
South Dakota(10/14/2016)
IAR
South Dakota(9/2/2022)
RR
Tennessee(10/14/2016)
RR
Texas(10/14/2016)
IAR
Texas(1/31/2019)
RR
Utah(10/14/2016)
IAR
Utah(9/1/2022)
RR
Vermont(10/14/2016)
RR
Virgin Islands(10/14/2016)
IAR
Virgin Islands(9/1/2022)
RR
Virginia(10/14/2016)
IAR
Virginia(9/1/2022)
RR
Washington(10/14/2016)
IAR
Washington(10/21/2022)
RR
West Virginia(10/14/2016)
IAR
West Virginia(9/6/2022)
RR
Wisconsin(10/14/2016)
RR
Wyoming(10/14/2016)
IAR
Wyoming(9/2/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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 | |
| 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
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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