DB
Donna H. Binion
SANDERS MORRIS LLC
Houston, TX 77002
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CRD#: 3081152
DB
Professional summary
Donna Helena Binion, who also goes by Donna Helena Ezell, Donna Helena Hernandez, is a registered financial advisor currently at SANDERS MORRIS LLC located in Houston, Texas.
Donna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Donna has worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Donna Helena Ezell | Donna Helena Hernandez
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 Donna Helena Binion's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Donna Helena Binion'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 20, 2011 - Present
SANDERS MORRIS LLC
Office #1: 600 Travis Suite 5900, Houston, TX 77002RIA
BD
CRD#: 20580
Houston, TX
Current
January 20, 2011 - Present
SANDERS MORRIS LLC
Office #1: 600 Travis Suite 5900, Houston, TX 77002RIA
BD
CRD#: 20580
Houston, TX
Past
December 9, 2008 - July 26, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
December 9, 2008 - July 26, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
HOUSTON, TX
Past
January 16, 2003 - August 15, 2008
LIGHTHOUSE CAPITAL MANAGEMENT
RIA
CRD#: 105843
HOUSTON, TX
Past
April 1, 2002 - December 31, 2006
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
October 18, 2000 - April 2, 2001
CYBERTRADER, INC.
BD
CRD#: 44523
AUSTIN, TX
Past
January 10, 2000 - August 22, 2000
TRADECAST SECURITIES, LTD.
BD
CRD#: 45501
HOUSTON, TX
Past
November 20, 1998 - January 3, 2000
PROTRADER SECURITIES L.P.
BD
CRD#: 35233
AUSTIN, 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".
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
Texas(1/20/2011)
IAR
Texas(1/20/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/25/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
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 | |
| 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.
Company Information
SANDERS MORRIS LLC
CRD#: 20580Houston, TX 77002TRUST BUT VERIFY
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