William H. Brashears
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.
William Hjalmar Brashears, who also goes by Bill Brashears, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1969. William had worked at 9 firms and has passed the Series 65, Series 63, Series 31, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2009 - May 9, 2011
SANDERS MORRIS LLC
January 22, 2001 - May 9, 2011
SANDERS MORRIS LLC
September 28, 1993 - January 11, 2001
HILLTOP SECURITIES INC.
July 31, 1989 - September 10, 1993
PRUDENTIAL EQUITY GROUP, LLC
November 6, 1984 - August 7, 1989
RAUSCHER PIERCE REFSNES, INC.
January 5, 1983 - May 14, 1984
BIRR WILSON, INC.
August 25, 1982 - January 14, 1983
J.P. MORGAN SECURITIES LLC
May 22, 1974 - August 13, 1982
INSTITUTIONAL EQUITY CORPORATION
January 12, 1973 - June 23, 1974
LEHMAN BROTHERS INCORPORATED
December 1, 1969 - January 11, 1973
DUPONT GLORE, DORGAN
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
PC
Date: 5/18/1977
AMEX Put and Call ExamSeries 1
Date: 12/5/1966
Registered Representative ExaminationSeries 40
Date: 11/13/1969
Registered Principal 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 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.
