Unclaimed Profile

Thomas John Jr Lykos

SANDERS MORRIS HARRIS LLC·HOUSTON, Texas

SIE, Series 7, Series 63, Series 6614 years registeredSANDERS MORRIS HARRIS LLC

600 TRAVIS, HOUSTON, TX 77002-3003CRD# 2017220Firm CRD# 20580

Profile Verification

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

Identity

Thomas John Jr Lykos · HOUSTON, TX

Registration

CRD #2017220 · SANDERS MORRIS HARRIS LLC · 14 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SANDERS MORRIS HARRIS LLC

SANDERS MORRIS HARRIS LLC

Mar 2018 – May 2019

HOUSTON, TX

COMMERCE STREET INVESTMENT MANAGEMENT

Sep 2011 – Feb 2018

DALLAS, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 66

Registration record

First registered · September 9, 2011

Years registered · 14

Disclosure History

2019Regulatory·Final

2006Judgment / Lien

2004Judgment / Lien

3 disclosure events 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 Thomas John Jr Lykos offer?

Thomas John Jr Lykos specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management.

What are Thomas John Jr Lykos's credentials?

Thomas John Jr Lykos is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas John Jr Lykos located?

Thomas John Jr Lykos is based in HOUSTON, Texas, last registered with SANDERS MORRIS HARRIS LLC.

How does Thomas John Jr Lykos charge for services?

Thomas John Jr Lykos'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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