SP SECURITIES LLC

Broker-DealerFINRA MemberEst. 2004
Total AUM
Advisory reps
23
Avg account
$0

Firm details

Headquarters
HOUSTON, Texas
CRD number
130560
Registered since
August 4, 2004

Firm profile

FINTRX

Overview

SP Securities LLC is organized as a limited liability company and is registered with the SEC since 2004. The firm is classified in the data as an investment bank and its ownership is recorded as a combination of a domestic entity and an individual. The record flags SP Securities as not operating as a capital allocator and not participating as an active ESG investor. It is not identified as a multi-state adviser, a pension consultant, a newly formed adviser, or a related adviser. The dataset does not provide descriptions of the firm’s advisory activities, fee schedule, client segments, or specific business lines beyond the classification as an investment bank.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

1 of 1
  • WILLIAM WILSON

    Chief Compliance OfficerCRD 1430161

Contacts

3 of 22
  • JAMES DACK

    DirectorCRD 2852628

  • ELLEN BAILEY

    Managing Director, Consultant RelationsCRD 2815573

  • TERRY DORSEY

    Co-FounderCRD 4892039

Unlock 19 more contacts

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

HOUSTON, TX

HARRIS

Location

HOUSTON, TX

Headquartered in HOUSTON, TX, anchoring the Houston-The Woodlands, TX metro in the South.

Metro area
Houston-The Woodlands, TX
Region
South
County
HARRIS
Address
6363 Woodway Dr
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth