Swbt Securities, Inc. (Houston)

Name: Swbt Securities, Inc.
Address: 4400 Post Oak Parkway, Houston, TX, 77027 3421
Telephone: 713-232-1286

Swbt Securities, Inc. is a large advisory firm based in Houston. It manages $50 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdiction of Texas.

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

Swbt Securities: assets under management

The assets under management (AUM) of Swbt Securities, Inc. is $50 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 150% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $50 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $50 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Swbt Securities, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Swbt Securities, Inc.

Gregory Arthur Swank has been acting as President since 1 Mar 2002. Jane Jia Ouyang joined the executive team most recently as the Vice President/Chief Operations Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
N.A. Southwest Bank Of Texas	Owner	1 Feb 2002	75% - 100%	76-0028668
Gregory Arthur Swank	Board member/president/srop/crop/branch manager	1 Feb 2002	Other	1101415
Lynn Cameron Trafton	Compliance principal	1 Feb 2002	Other	2969201
David Carruth Farries	Board member//registered principal	1 Feb 2002	Other	1632033
Jenifer Drake Stepanik	Board member/finop	1 Feb 2002	Other	2648527
Roger Alan Sebesta	Secretary	1 Feb 2002	Other	3054906
R. John Mcwhorter	Treasurer	1 Feb 2002	Other	4546501
Riley Edward Salyer	Brokerage operations mgr/registered principal	1 Feb 2002	Other	2570505
Brian James Hays	Retail investment sales manager	1 Feb 2002	Other	1949958
Craig Martin Kercho	Registered/municipal principal	1 Feb 2002	Other	1562405
Gregory Arthur Swank	President/board of directors	1 Mar 2002	Other	1101415
Southwest Bank Of Texas N.A	Owner	1 Mar 2002	75% - 100%	76-0028668
David Carruth Farries	Board of directors	1 Mar 2002	Other	1632033
Jenifer Drake Stepanik	Board of directors	1 Mar 2002	Other	2648527
Roger Alan Sebesta	Secretary	1 Mar 2002	Other	3054906
Inc. Southwest Bancorporation Of Texas	Owner	1 Mar 2002	75% - 100%	76-0519693
Jenifer Drake Stepanik	Board member/president/finop/branch manager	1 Sep 2002	Other	2648527
Kelly Owen Schmalhausen	Svp/sr. compliance officer,srop/crop	1 Sep 2002	Other	2340178
Forrest Burford Jr Bruch	Board member	1 Sep 2002	Other	1199545
Jane Jia Ouyang	Vice president/chief operations officer	1 Feb 2005	Other	xxx-xx-xxxx
Thomas Press	Secretary	1 Feb 2005	Other	68-0491185

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Southwest Bancorporation Of Texas	Owner	1 Feb 2002	75% - 100%	76-0519693

Based in Houston

The principal office where Swbt Securities, Inc. performs its advisory services is located at 4400 Post Oak Parkway, Houston, TX 77027 3421, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 713-232-1286 or by fax 713-561-0240. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.swbanktx.com.