Stephen J. Glantz

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CRD#: 807731

Professional summary

Stephen Joel Glantz was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stephen is a previously registered financial advisor and started their career in finance in 1975. Prior to being barred, Stephen had worked at 12 firms, which includes SANDERS MORRIS LLC, SMH CAPITAL ADVISORS LLC, FERRIS BAKER WATTS LLC, ADVEST INC., WELLS FARGO CLEARING SERVICES LLC, FINANCIAL SQUARE PARTNERS, UBS FINANCIAL SERVICES INC., BLYTH EASTMAN DILLON & CO. INCORPORATED, E. F. HUTTON & COMPANY INC, AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 27, 2006 - May 31, 2007

SANDERS MORRIS LLC

RIA

CRD#: 20580

BEACHWOOD, OH

Past

December 8, 2005 - December 31, 2006

SMH CAPITAL ADVISORS LLC

RIA

CRD#: 108344

FORT WORTH, TX

Past

December 8, 2005 - May 31, 2007

SANDERS MORRIS LLC

CRD#: 20580

BEACHWOOD, OH

Past

October 27, 2005 - December 9, 2005

FERRIS, BAKER WATTS, LLC

RIA

CRD#: 285

BEACHWOOD, OH

Past

January 2, 2003 - December 9, 2005

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

Past

July 8, 1999 - January 10, 2003

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

September 21, 1992 - July 14, 1999

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 15, 1987 - October 9, 1992

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

January 31, 1980 - June 23, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

March 21, 1979 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

November 30, 1976 - May 4, 1979

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

May 14, 1975 - December 15, 1976

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

May 14, 1975 - December 15, 1976

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

May 14, 1975 - December 15, 1976

IDS LIFE INSURANCE COMPANY

CRD#: 6321

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".

SANDERS MORRIS LLC

CRD#: 20580 / SEC#: 801-66300, 8-38325

RIA

Registered Investment Advisory firm - SEC (3/30/2006 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/24/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 2/19/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 2/19/1977

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 5/3/1975

Registered Representative Examination

Current Firm

SANDERS MORRIS LLC

CRD#: 20580 / SEC#: 801-66300, 8-38325

RIA

Registered Investment Advisory firm - SEC (3/30/2006 Approved)

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

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 - MANAGED ASSET PROGRAM (MAP) WRAP FEE PROGRAM BROCHURE (3/24/2025)

FORM ADV PART 2A-INVESTMENT ADVISORY SERVICES BROUCHURE (3/24/2025)

FORM ADV PART 2A APPENDIX 1 - FOCUS ASSET MANAGEMENT PROGRAM (3/24/2025)

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.

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Stephen J. Glantz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SMH CAPITAL ADVISORS LLC

SANDERS MORRIS LLC

FERRIS, BAKER WATTS, LLC

FERRIS, BAKER WATTS, LLC

ADVEST, INC.

WELLS FARGO CLEARING SERVICES, LLC

FINANCIAL SQUARE PARTNERS

UBS FINANCIAL SERVICES INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

E. F. HUTTON & COMPANY INC

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

SANDERS MORRIS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/24/2005

Series 63

Date: 12/7/1985

PC

Date: 2/19/1977

Series 7

Date: 2/19/1977

Series 1

Date: 5/3/1975

Current Firm

SANDERS MORRIS LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SANDERS MORRIS LLC

TRUST BUT VERIFY

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