AWM SERVICES, INC.
CRD #6439 SEC #801-61424 HOUSTON, TX 713-552-1880
SEC Registered Broker-Dealer
Total AUM
--
Discretionary
--
Employees
1
Clients
0
Accounts
--
Firm Details
- Organization Type
- Corporation
- State of Formation
- Texas
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 8, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALBAN, JOHN HOWARD III | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBAN, JOHN HOWARD III | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBAN, JOHN HOWARD III | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBAN, JOHN HOWARD III | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CAUDLE, CRAIG LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| CAUDLE, CRAIG LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| CAUDLE, CRAIG LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| CAUDLE, CRAIG LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| HALL, STAN RUSSELL | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, STAN RUSSELL | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, STAN RUSSELL | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, STAN RUSSELL | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, STAN RUSSELL | I | PRESIDENT/DIRECTOR | NA | Control |
| HALL, STAN RUSSELL | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| KINGSBERY, TEDDY RALPH | I | MANAGING DIRECTOR | NA | Control |
| KINGSBERY, TEDDY RALPH | I | MANAGING DIRECTOR | NA | Control |
| KINGSBERY, TEDDY RALPH | I | MANAGING DIRECTOR | NA | Control |
| KINGSBERY, TEDDY RALPH | I | MANAGING DIRECTOR | NA | Control |
| LEE, JAMES HARVEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEGAYE, DANIEL EUGENE SR | I | FINOP | NA | |
| LESTER, MICHAEL EDWARD | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| LESTER, MICHAEL EDWARD | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| LESTER, MICHAEL EDWARD | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| SACHS, WILLIAM RANEY JR | I | DIRECTOR | NA | Control |
| SACHS, WILLIAM RANEY JR | I | DIRECTOR | NA | Control |
| SACHS, WILLIAM RANEY JR | I | DIRECTOR | NA | Control |
| SACHS, WILLIAM RANEY JR | I | DIRECTOR | NA | Control |
| SACHS, WILLIAM RANEY JR | I | PRESIDENT | NA | Control |
| SACHS, WILLIAM RANEY JR | I | PRESIDENT | NA | Control |
| SACHS, WILLIAM RANEY JR | I | PRESIDENT | NA | Control |
| SACHS, WILLIAM RANEY JR | I | PRESIDENT | NA | Control |
| SACHS, WILLIAM RANEY JR | I | DIRECTOR | NA | Control |
| STERLING, DONALD WILLIAM | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| STERLING, DONALD WILLIAM | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| STERLING, DONALD WILLIAM | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| STERLING, DONALD WILLIAM | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| WARD, JAMES CHESTER JR | I | MANAGING DIRECTOR | NA | Control |
| WARD, JAMES CHESTER JR | I | MANAGING DIRECTOR | NA | Control |
| WARD, JAMES CHESTER JR | I | MANAGING DIRECTOR | NA | Control |
| WARD, JAMES CHESTER JR | I | MANAGING DIRECTOR | NA | Control |
| LIBERTY FUNDS GROUP, INC. | DE | SHAREHOLDER | E | Control |
| LIBERTY FUNDS GROUP, INC. | DE | SHAREHOLDER | E | Control |
| LIBERTY FUNDS GROUP, INC. | DE | SHAREHOLDER | E | Control |
| LIBERTY FUNDS GROUP, INC. | DE | SHAREHOLDER | E | Control |
| SUMMITALLIANCE INVESTMENT GROUP | DE | SHAREHOLDER | E | Control |
| SUMMITALLIANCE INVESTMENT GROUP | DE | SHAREHOLDER | E | Control |
| SUMMITALLIANCE INVESTMENT GROUP | DE | SHAREHOLDER | E | Control |
| SUMMITALLIANCE INVESTMENT GROUP, L.L.C. | DE | SHAREHOLDER | E | Control |
| SUMMITALLIANCE INVESTMENT GROUP, L.L.C. | DE | SHAREHOLDER | E | Control |
| SUMMITALLIANCE INVESTMENT GROUP, L.L.C. | DE | SHAREHOLDER | E | Control |
| BEST, CHARLES MCCOMBER | I | CHIEF EXECUTIVE OFFICER | B | Control |
| BEST, CHARLES MCCOMBER | I | CHIEF EXECUTIVE OFFICER | B | Control |
| BEST, CHARLES MCCOMBER | I | CHIEF EXECUTIVE OFFICER | B | Control |
| BEST, CHARLES MCCOMBER | I | CHIEF EXECUTIVE OFFICER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| NORTH TIMBER CAPITAL, LC | DE | TIMBER RIDGE PARTNERS, LP | F | Control |
| NORTH TIMBER CAPITAL, LC | DE | TIMBER RIDGE PARTNERS, LP | F | Control |
| NORTH TIMBER CAPITAL, LC | DE | TIMBER RIDGE PARTNERS, LP | F | Control |
| GILL, DOUGLAS WAYNE | I | GILL CAPITAL MANAGEMENT, INC | E | Control |
| GILL, DOUGLAS WAYNE | I | GILL CAPITAL MANAGEMENT, INC | E | Control |
| GILL, DOUGLAS WAYNE | I | GILL CAPITAL MANAGEMENT, INC | E | Control |
| GILL, DOUGLAS WAYNE | I | GILL CAPITAL MANAGEMENT, INC | E | Control |
| GILL, DOUGLAS WAYNE | I | GILL CAPITAL MANAGEMENT, INC | E | Control |
| GILL, DOUGLAS WAYNE | I | GILL CAPITAL MANAGEMENT, INC | E | Control |
| LESTER, MICHAEL EDWARD | I | NORTH TIMBER CAPITAL, LC | E | Control |
| LESTER, MICHAEL EDWARD | I | NORTH TIMBER CAPITAL, LC | E | Control |
| LESTER, MICHAEL EDWARD | I | NORTH TIMBER CAPITAL, LC | E | Control |
| SUMMITALLIANCE CAPITAL, LLC | DE | SUMMITALLIANCE INVESTMENT GROUP, LLC | E | Control |
| SUMMITALLIANCE CAPITAL, LLC | DE | SUMMITALLIANCE INVESTMENT GROUP, LLC | E | Control |
| SUMMITALLIANCE CAPITAL, LLC | DE | SUMMITALLIANCE INVESTMENT GROUP, LLC | E | Control |
| SUMMITALLIANCE CAPITAL, LLC | DE | SUMMITALLIANCE INVESTMENT GROUP, LLC | E | Control |
| SUMMITALLIANCE CAPITAL, LLC | DE | SUMMITALLIANCE INVESTMENT GROUP, LLC | E | Control |
| SUMMITALLIANCE CAPITAL, LLC | DE | SUMMITALLIANCE INVESTMENT GROUP, LLC | E | Control |
| ANDERS, LARRY KEITH | I | SUMMITALLIANCE CAPITAL, LLC | D | Control |
| ANDERS, LARRY KEITH | I | SUMMITALLIANCE CAPITAL, LLC | D | Control |
| ANDERS, LARRY KEITH | I | SUMMITALLIANCE CAPITAL, LLC | D | Control |
| ANDERS, LARRY KEITH | I | SUMMITALLIANCE CAPITAL, LLC | D | Control |
| ANDERS, LARRY KEITH | I | SUMMITALLIANCE CAPITAL, LLC | D | Control |
| ANDERS, LARRY KEITH | I | SUMMITALLIANCE CAPITAL, LLC | D | Control |
| CAUDLE, CRAIG LAWRENCE | I | LIBERTY FUNDS GROUP, INC. | C | Control |
| CAUDLE, CRAIG LAWRENCE | I | LIBERTY FUNDS GROUP, INC. | C | Control |
| CAUDLE, CRAIG LAWRENCE | I | LIBERTY FUNDS GROUP, INC. | C | Control |
| CAUDLE, CRAIG LAWRENCE | I | LIBERTY FUNDS GROUP, INC. | C | Control |
| GILL CAPITAL MANAGEMENT, INC. | DE | SUMMITALLIANCE INVESTMENT GROUP, LLC | C | Control |
| GILL CAPITAL MANAGEMENT, INC. | DE | SUMMITALLIANCE INVESTMENT GROUP, LLC | C | Control |
| GILL CAPITAL MANAGEMENT, INC. | DE | SUMMITALLIANCE INVESTMENT GROUP, LLC | C | Control |
| GILL CAPITAL MANAGEMENT, INC. | DE | SUMMITALLIANCE INVESTMENT GROUP, LLC | C | Control |
| GILL CAPITAL MANAGEMENT, INC. | DE | SUMMITALLIANCE INVESTMENT GROUP, LLC | C | Control |
| GILL CAPITAL MANAGEMENT, INC. | DE | SUMMITALLIANCE INVESTMENT GROUP, LLC | C | Control |
| LESTER, GINA | I | TIMBER RIDGE PARTNERS, LP | C | Control |
| LESTER, GINA | I | TIMBER RIDGE PARTNERS, LP | C | Control |
| LESTER, GINA | I | TIMBER RIDGE PARTNERS, LP | C | Control |
| LESTER, MICHAEL EDWARD | I | SUMMIT ALLIANCE CAPITAL, LLC | C | Control |
| LESTER, MICHAEL EDWARD | I | SUMMIT ALLIANCE CAPITAL, LLC | C | Control |
| LESTER, MICHAEL EDWARD | I | SUMMIT ALLIANCE CAPITAL, LLC | C | Control |
| LESTER, MICHAEL EDWARD | I | TIMBER RIDGE PARTNERS, LP | C | Control |
| LESTER, MICHAEL EDWARD | I | TIMBER RIDGE PARTNERS, LP | C | Control |
| LESTER, MICHAEL EDWARD | I | TIMBER RIDGE PARTNERS, LP | C | Control |
| TIMBER RIDGE PARTNERS, LP | DE | SUMMIT ALLIANCE CAPITAL, LLC | C | Control |
| TIMBER RIDGE PARTNERS, LP | DE | SUMMIT ALLIANCE CAPITAL, LLC | C | Control |
| TIMBER RIDGE PARTNERS, LP | DE | SUMMIT ALLIANCE CAPITAL, LLC | C | Control |
Registrations
Federal
IA
Mar 8, 2012 REGISTERED
Notice Filings (1)
TX
Address
1330 POST OAK BLVD., SUITE 1550HOUSTON, TX 77056
United States
Phone: 713-552-1880