DS
Donald A. Sanders
SANDERS MORRIS LLC
Houston, TX 77002
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CRD#: 410116
DS
Professional summary
Donald Anthony Sanders is a registered financial advisor currently at SANDERS MORRIS LLC located in Houston, Texas.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Donald has worked at 3 firms and has passed the Series 66, Series 63, Series 52TO, Series 79TO, Series 7TO, SIE, PC, Series 1, Series 53, Series 24 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Donald Anthony Sanders's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Donald Anthony Sanders'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
July 17, 2006 - Present
SANDERS MORRIS LLC
Office #1: 600 Travis Suite 5900, Houston, TX 77002RIA
BD
CRD#: 20580
Houston, TX
Current
November 2, 1987 - Present
SANDERS MORRIS LLC
Office #1: 600 Travis Suite 5900, Houston, TX 77002RIA
BD
CRD#: 20580
Houston, TX
Past
February 17, 2006 - December 31, 2012
SOF MANAGEMENT, LLC
RIA
CRD#: 138787
HOUSTON, TX
Past
September 23, 1970 - May 13, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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(10/12/2017)
RR
Alaska(4/8/1993)
RR
Arizona(3/18/1993)
IAR
Arizona(9/12/2006)
RR
Arkansas(8/6/1993)
RR
California(7/28/1988)
IAR
California(8/30/2006)
RR
Colorado(3/11/1993)
IAR
Colorado(9/5/2006)
RR
Connecticut(3/17/1993)
IAR
Connecticut(9/1/2006)
RR
Delaware(3/11/1993)
RR
District of Columbia(8/25/1988)
RR
Florida(8/2/1988)
IAR
Florida(8/31/2006)
RR
Georgia(3/29/1993)
IAR
Georgia(8/31/2006)
RR
Idaho(3/11/1993)
RR
Illinois(3/16/1993)
IAR
Illinois(8/31/2006)
RR
Indiana(4/20/1993)
RR
Iowa(3/17/1993)
RR
Kentucky(3/11/1993)
RR
Louisiana(6/14/1993)
IAR
Louisiana(8/30/2006)
RR
Maryland(5/6/1998)
RR
Massachusetts(3/30/1993)
RR
Michigan(3/18/1993)
RR
Minnesota(3/11/1993)
RR
Mississippi(3/19/1993)
RR
Missouri(9/5/2006)
IAR
Missouri(9/5/2006)
RR
Montana(7/27/1993)
RR
Nebraska(3/25/1993)
IAR
Nebraska(8/30/2006)
RR
Nevada(9/9/1988)
RR
New Jersey(3/21/1989)
RR
New Mexico(8/5/1988)
RR
New York(3/13/1990)
RR
North Carolina(4/19/1993)
RR
North Dakota(3/3/1993)
RR
Ohio(3/11/1993)
RR
Oklahoma(4/28/1988)
RR
Oregon(3/15/1993)
RR
Pennsylvania(3/19/1993)
IAR
Pennsylvania(8/31/2006)
RR
Puerto Rico(10/19/2017)
RR
Rhode Island(3/18/1993)
RR
South Dakota(3/18/1993)
RR
Tennessee(8/3/1988)
RR
Texas(10/1/1987)
IAR
Texas(7/17/2006)
RR
Utah(5/6/1993)
RR
Vermont(5/4/1993)
RR
Virgin Islands(10/23/2017)
RR
Virginia(8/3/1988)
IAR
Virginia(8/31/2006)
RR
Washington(3/18/1993)
RR
West Virginia(3/11/1993)
RR
Wisconsin(4/29/1998)
RR
Wyoming(3/12/1993)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 5/11/1981
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 8/27/1959
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 9/11/1970
Registered Principal ExaminationSRO 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 | |
| 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#: 20580Houston, TX 77002TRUST BUT VERIFY
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