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David William Block

Sanders Morris LLC

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About David William Block

David William Block is a financial advisor with Sanders Morris LLC. David has been in the financial industry since 1997 and has experience with a number of different firms. David is registered with FINRA and holds a Series 7, Series 24, Series 55, Series 57TO and Series 99TO license. David specializes in financial planning, portfolio management for individuals and businesses, and selection of other advisers.

Firm Information

David Block is currently registered with Sanders Morris LLC. Sanders Morris LLC is a Limited Liability Company formed in 2015 and headquartered in Houston, Texas. The firm provides financial planning, pension consulting, selection of other advisers, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles. They are registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands. Sanders Morris LLC has approximately $819,924,163 in regulatory assets under management.
Sanders Morris LLC

600 TRAVIS

HOUSTON, TX 77002-3003

$819.92M

Assets Under Management

Not reported

Total Clients

20

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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David Block’s Registration & Firm History

TX

06/17/2013 - Present

Sanders Morris LLC (HOUSTON TX)

TX

01/09/2002 - 05/30/2013

NFP SECURITIES, INC. (AUSTIN TX)

MI

10/05/2001 - 01/08/2002

H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)

TX

05/02/2000 - 04/26/2001

PROTRADER TRADING, L.L.C. (AUSTIN TX)

TX

09/01/1999 - 04/26/2001

PROTRADER SECURITIES CORPORATION (AUSTIN TX)

TX

11/09/1998 - 07/29/1999

SUMMIT TRADING, INC. (HOUSTON TX)

TX

04/22/1998 - 10/07/1998

BLOCK TRADING INC. (HOUSTON TX)

NJ

06/25/1994 - 02/17/1995

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

TX

06/18/1993 - 04/11/1994

TEXAS CAPITAL SECURITIES, INC. (HOUSTON TX)

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Licenses & Designations

BC

Issued 06/25/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/18/1998

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/12/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/10/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for David William Block.
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