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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

NANCY ELAINE DIXON

Advisor at SANDERS MORRIS LLC

Dallas, TX

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Search this name across graphsid dfx:ria:36533688-a7e4-deec-452b-c443a0bf8751

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 27, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SANDERS MORRIS LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 2, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 39
Exams: S63|S65
First exam: Jan 2, 1998
First registration: Jan 27, 1998
Dual registered: yes, broker-dealer
Other names: NANCY WORTHAM|NANCY E DIXON
IAPD individual key: 2806279

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SANDERS MORRIS LLC	Independent wealth	Jan 31, 2019	n/a	yes	Dallas, TX	Current employment
TECTONIC ADVISORS LLC	Independent wealth	Mar 24, 2017	Jan 8, 2026	no	FRISCO, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jul 18, 2006	Sep 8, 2016	no	DALLAS, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Dec 9, 2003	Sep 27, 2005	no	DALLAS, TX	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Aug 18, 2003	Dec 16, 2003	no	DALLAS, TX	Previous registration
BANC OF AMERICA SECURITIES LLC	n/a	Aug 7, 2002	Aug 20, 2003	no	DALLAS, TX	Previous registration
MORGAN STANLEY DW INC.	n/a	Jan 27, 1998	Aug 12, 2002	no	PLANO, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TECTONIC ADVISORS LLC	SANDERS MORRIS LLC	Jan 8, 2026	Jan 31, 2019	-2,534	Firm change after gap	RIA to RIA
J.P. MORGAN SECURITIES LLC	TECTONIC ADVISORS LLC	Sep 8, 2016	Mar 24, 2017	197	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	J.P. MORGAN SECURITIES LLC	Dec 16, 2003	Dec 9, 2003	-7	Firm change	Other
BANC OF AMERICA SECURITIES LLC	BANC OF AMERICA INVESTMENT SERVICES, INC.	Aug 20, 2003	Aug 18, 2003	-2	Bulk transfer	Other
MORGAN STANLEY DW INC.	BANC OF AMERICA SECURITIES LLC	Aug 12, 2002	Aug 7, 2002	-5	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
139713:20580:TX:2026-01-08	Jan 8, 2026	Jan 31, 2019	FRISCO, TX	Firm change after gap

Relationships

Registered with (6)

→ SANDERS MORRIS LLCRegistered adviserregistration: current employment
Jan 31, 2019 to presentfactForm ADV
→ TECTONIC ADVISORS LLCRegistered adviserregistration: previous registration
Mar 24, 2017 to Jan 8, 2026factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jul 18, 2006 to Sep 8, 2016factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Aug 18, 2003 to Dec 16, 2003factForm ADV
→ BANC OF AMERICA SECURITIES LLCRegistered adviserregistration: previous registration
Aug 7, 2002 to Aug 20, 2003factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jan 27, 1998 to Aug 12, 2002factForm ADV

Dated events

Occurred
Jan 8, 2026
Advisor changed firm
Nancy Elaine Dixon left Tectonic Advisors Llc for Sanders Morris Llc (registered 2019-01-31)
Form ADVobserved 6 days ago