SOUTH TEXAS CAPITAL ADVISORS, LLC of NEW BRAUNFELS, TX is an SEC-registered investment adviser (CRD 283773). Regulatory assets under management: $167.2M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Gregory Scott Snider | CCO; CCO, CEO; MANAGING MEMBER/CCO | — |
| James Earl Mahan | MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-07-25 | regulatory | JAMES E. MAHAN III REFUSED TO APPEAR FOR ON-THE-RECORD TESTIMONY AS REQUESTED BY FINRA REGARDING AN INTERNAL REVIEW BY J.P. MORGAN SECURITIES, LLC, FOR ALLEGEDLY RECOMMENDING AN UNAPPROVED OUTSIDE INVESTMENT TO A CLIENT OF THE FIRM. THIS REFUSAL, VIOLATED FINRA RULES 8210 AND 2010 AND RESULTED IN A… | Final | — |