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Important Disclosures for Clients

SMH Client Relationship Summary (Form CRS)

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SMH SEC Rules 605 and 606 Order Routing Disclosure

Sanders Morris Harris LLC is a privately owned, dually registered broker dealer and RIA firm established in 1987. Tectonic Financial, Inc. the parent company has approximately $3.7 billion in client assets under management*. Other affiliated entities include T Bank, N.A., one of the leading specialty lending banks in Texas, Tectonic Advisors, LLC an SEC registered investment adviser with $1.5 billion in assets under management*, and HWG Insurance Agency LLC, a full service personal and commercial insurance agency. Together this group provides a diverse suite of financial services – commercial banking, family office, institutional trading, investment and risk management, and trust options.

*Assets under management values as of December 2019

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Important Disclosures for Clients

600 Travis Street 59th Floor, Houston, Texas 77002 (713) 224-3100