Unclaimed Profile

Aaron Ray Rowe

SANDERS MORRIS HARRIS LLC·HOUSTON, Texas

SIE, Series 7, Series 9, Series 10, Series 24, Series 63, Series 6526 years registeredSANDERS MORRIS HARRIS LLC

600 TRAVIS, HOUSTON, TX 77002-3003CRD# 4054936Firm CRD# 20580

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Aaron Ray Rowe · HOUSTON, TX

Registration

CRD #4054936 · SANDERS MORRIS HARRIS LLC · 26 years registered

Brand Profile

Not yet started

Career History

EDELMAN FINANCIAL ENGINES

Nov 2018 – present

EDELMAN FINANCIAL SERVICES, LLC

Sep 2010 – Nov 2018

HENRICO, VA

SUNTRUST INVESTMENT SERVICES, INC.

Dec 2007 – Sep 2010

RICHMOND, VA

WACHOVIA SECURITIES FINANCIAL NETWORK, LLC

May 2006 – Dec 2007

RICHMOND, VA

WACHOVIA SECURITIES, LLC

Jun 2004 – May 2006

RICHMOND, VA

AXA ADVISORS, LLC

Feb 2000 – Jun 2004

BOCA RATON, FL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 24

Series 63

Series 65

Registration record

First registered · February 7, 2000

Years registered · 26

Disclosure History

2002Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SANDERS MORRIS LLC

CRD 20580 · SEC 801-66300

AUM

$820M

Regulatory assets under management

Employees

729 client accounts

Services offered by SANDERS MORRIS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at SANDERS MORRIS LLC →

Introduction

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Frequently Asked Questions

What services does Aaron Ray Rowe offer?

Aaron Ray Rowe specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in HOUSTON, Texas for a consultation.

What are Aaron Ray Rowe's credentials?

Aaron Ray Rowe is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Aaron Ray Rowe located?

Aaron Ray Rowe is based in HOUSTON, Texas, working with SANDERS MORRIS HARRIS LLC. Their office serves clients in the HOUSTON metropolitan area and surrounding communities.

How does Aaron Ray Rowe charge for services?

Aaron Ray Rowe's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SANDERS MORRIS HARRIS LLC?

SANDERS MORRIS HARRIS LLC has approximately 28 employees and manages $820M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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