Arthur Haag Sherman
Professional Summary
Arthur Haag Sherman is a registered financial advisor currently at TECTONIC CAPITAL ADVISORS, LLC located in Houston, Texas and SANDERS MORRIS LLC located in Houston, Texas. Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Arthur has worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
TECTONIC CAPITAL ADVISORS LLC | TECTONIC CAPITAL ADVISORS, LLC
Contact Information
Main Address
600 Travis Street Ste 5900, Houston, TX 77002Phone Number
(713) 250-4200# of Employees
3SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
48AUM (Assets Under Management)
$154,408,708Similar Advisors
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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.
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Primary Firm SEC Registration
TECTONIC CAPITAL ADVISORS LLC | TECTONIC CAPITAL ADVISORS, LLC
State Registrations and Notice Filings
(9/14/2017)
(12/17/2025)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Arthur Haag Sherman's CRS (Customer Relationship Summary).
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