Sws Securities, Inc. (Dallas)

Sws Securities, Inc. is a large advisory firm based in Dallas. It manages $84.18 million of regulatory assets for 284 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Sws Securities provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Sws Securities: assets under management

The assets under management (AUM) of Sws Securities, Inc. is $84.18 million. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.8 million in discretionary accounts and $80.37 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $200.23 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $303.29 thousand.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Sws Securities, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Sws Securities, Inc.

Donald A Buchholz has been acting as President since 1 Jan 2002. Stacy Malinda Hodges joined the executive team most recently as the Cfo, Executive Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Southwest Securities Group	Parent	1 Aug 1991	75% - 100%	75-2040825
Inc. Sws Securities Group	Parent	1 Aug 1991	75% - 100%	75-2040825
Inc. Sws Group	Parent	1 Aug 1991	75% - 100%	75-2040825
Jerome Stephen Wade	Vp & clo	1 Jan 1994	Other	809998
Daniel Roger Leland	Executive vice president	1 Apr 1995	Other	1157737
David Meyer Glatstein	Chairman, ceo, president & director	1 Jan 1997	Other	222856
Stacy Malinda Hodges	Cfo, finop & director	1 Sep 1998	Other	2544755
Robert George Mcbey	Coo	1 Aug 2000	Other	2337241
Phyllis Jean Knowles	Cco	1 Aug 2000	Other	1275616
William Davis Iv Felder	Executive vp & director	1 Sep 2000	Other	707492
Kenneth Ray Hanks	Executive vp & director	1 Sep 2000	Other	1812450
Allen R Tubb	Secretary	1 Oct 2000	Other	xxx-xx-xxxx
Ronald Wayne Bass	Crop & srop, msrb	1 Mar 2001	Other	2505880
Donald A Buchholz	Ceo/chairman	1 Jan 2002	Other	34297
Charles William Yancey	Executive vice president	1 May 2002	Other	1173660
Daniel Roger Leland	Ceo/president	1 Aug 2002	Other	1157737
Stacy Malinda Hodges	Cfo, executive vice president	1 Dec 2002	Other	2544755
Jerome Stephen Wade	Vp & general counsel	1 Dec 2002	Other	809998
Robert George Mcbey	Sr. vice president	1 Dec 2002	Other	2337241
William Davis Iv Felder	Executive vice president	1 Dec 2002	Other	707492
Kenneth Ray Hanks	Executive vice president	1 Dec 2002	Other	1812450
Richard Henry Litton	Executive vice president	1 Dec 2002	Other	828837
Brook Mcneil Smith	Executive vice president	1 Dec 2002	Other	721464
William Norman Thompson	Executive vice president/chief information officer	1 Dec 2002	Other	2632089
Paul David Vinton	Executive vice president	1 Dec 2002	Other	454974

Based in Dallas

The principal office where Sws Securities, Inc. performs its advisory services is located at 1201 Elm Street, Suite 3500, Dallas, TX 75270, which is also the mailing address of the firm. An additional office of the firm is in Albuquerque, NM. It doesn’t run an office outside of the United States.