0001852225-24-000004.txt : 20240328
0001852225-24-000004.hdr.sgml : 20240328
20240328093911
ACCESSION NUMBER: 0001852225-24-000004
CONFORMED SUBMISSION TYPE: MA
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20240313
DATE AS OF CHANGE: 20240328
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: TCBI SECURITIES, INC.
CENTRAL INDEX KEY: 0001852225
ORGANIZATION NAME:
IRS NUMBER: 862510798
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-02682
FILM NUMBER: 24794090
BUSINESS ADDRESS:
STREET 1: 2000 MCKINNEY AVENUE
STREET 2: SUITE 700
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 469-399-8582
MAIL ADDRESS:
STREET 1: 2000 MCKINNEY AVENUE
STREET 2: SUITE 700
CITY: DALLAS
STATE: TX
ZIP: 75201
FORMER COMPANY:
FORMER CONFORMED NAME: TCBI SECURITIES
DATE OF NAME CHANGE: 20220125
FORMER COMPANY:
FORMER CONFORMED NAME: TCBI SECURITIES, INC.
DATE OF NAME CHANGE: 20220120
FORMER COMPANY:
FORMER CONFORMED NAME: TCBI SECURITIES
DATE OF NAME CHANGE: 20210318
MA
1
primary_doc.xml
MA
0001852225
XXXXXXXX
Jason Rivera
469-399-8582
jason.rivera@texascapital.com
Daniel.Hoverman@texascapital.com
TCBI SECURITIES, INC.
313304
Texas Capital Securities
35-2683002
008-70682
313304
2000 MCKINNEY AVENUE
SUITE 700
DALLAS
TX
75201
214-932-6671
N
https://www.texascapitalbank.com/investment-banking
Jason
NMN
Rivera
Executive Director
2000 McKinney Ave.
Dallas
TX
75201
469-399-8582
jason.rivera@texascapital.com
Daniel
S
Hoverman
2000 McKinney Ave.
Dallas
TX
75201
214-932-6601
daniel.hoverman@texascapital.com
NewAdd
Pershing LLC
One Pershing Plaza
Jersey City
NJ
07399
201-403-2000
Pershing LLC is the clearing firm for TCBI Securities, Inc. Pershing LLC maintains the firm's and its customers' funds and securities. Pershing will produce and maintain certain books and records for TCBI Securities, Inc.
Texas Capital Bancshares, Inc.
Y
U.S. Securities and Exchange Commission
CIK # 0001077428
Texas Capital ETF & Funds Management
N
Texas Capital Bank
Y
Texas Dept. of Banking
Charter License # 3232-07
TX
Texas Capital Bank Wealth Management Services, Inc. d/b/a Texas Capital Bank Private Wealth Advisors
Y
U.S Securities and Exchange Commission
801-114364
December
TX
03-02-2021
N
236
1
1
0
0
0
Municipal Entities
0
0
0
Public pension funds
529 Plans
Local government investment pools
State government investment pools
Hospitals
Colleges
Hourly Charges
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice Investment Of Proceeds MS
Y
Y
N
Investment Company
Investment Adviser
Banking/Thrift institution
4
NewAdd
Banking/Thrift institution
Texas Capital Bancshares, Inc.
Texas Capital Bancshares, Inc.
Y
Y
N
NewAdd
Investment Company
Texas Capital ETF & Funds Management
Texas Capital ETF & Funds Management
N
Y
N
NewAdd
Investment Adviser
Texas Capital Bank Wealth Management Services, Inc. d/b/a Texas Capital Bank Private Wealth Advisors
Texas Capital Bank Wealth Management Services, Inc. d/b/a Texas Capital Bank Private Wealth Advisors
N
Y
N
NewAdd
Banking/Thrift institution
Texas Capital Bank
Texas Capital Bank
Y
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
TEXAS CAPITAL BANCSHARES INC/TX
0001077428
Schedule B
Schedule D Section 8-A
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
Texas Capital Bank
N
75-2695994
Owner
03-01-2021
E
Y
Anna
Maria
Alvarado
Director
12-01-2021
NA
Y
4433966
Joel
Brian
Colpitts
Financial and Operations Principal
01-01-2022
NA
Y
2376942
Robert
Cullum
Holmes
Director
12-01-2021
NA
Y
2948416
Daniel
Stephens
Hoverman
President, Director
09-01-2021
NA
Y
5281289
Joseph
Richard
Mancino
Head of Investment Banking Operations
01-01-2021
NA
Y
5197149
Jason
NMN
Rivera
Chief Compliance Officer
01-01-2021
NA
Y
5010925
John
Matthew
Scurlock
Director
12-01-2021
NA
Y
7521986
Timothy
John
Storms
Director
12-01-2021
NA
N
2419846
Texas Capital Bank
Texas Capital Bancshares, Inc.
Y
75-2679109
Owner
12-01-1998
E
Y
Jason Rivera
Jason Rivera
Chief Compliance Officer
03-13-2024
313304
N
N
Y
N
N
N
N
N
N
N
Y
N
Y
N
N
N
N
Y
Y
N
N