0000314550-14-000005.txt : 20150129 0000314550-14-000005.hdr.sgml : 20150129 20150129165721 ACCESSION NUMBER: 0000314550-14-000005 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140821 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAPROCK SECURITIES, INC. CENTRAL INDEX KEY: 0000314550 IRS NUMBER: 751622628 STATE OF INCORPORATION: TX FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-04661 FILM NUMBER: 15559644 BUSINESS ADDRESS: STREET 1: 4601 50TH STREET STREET 2: SUITE 202 CITY: LUBBOCK STATE: TX ZIP: 79414-3518 BUSINESS PHONE: (806) 797-3513 MAIL ADDRESS: STREET 1: 4601 50TH STREET STREET 2: SUITE 202 CITY: LUBBOCK STATE: TX ZIP: 79414-3518 FORMER COMPANY: FORMER CONFORMED NAME: CAPROCK SECURITIES INC /BD DATE OF NAME CHANGE: 20020313 MA-I 1 primary_doc.xml MA-I 0000314550 XXXXXXXX Christopher Thomas Mayes 5123220133 cmayes@caprocksecurities.com dallison@caprocksecurities.com N Christopher Thomas Mayes 000717727 N 1 0000314550 CAPROCK SECURITIES, INC. 04-02-1997 Y I have completed the for MA but an error occurred while processing the submission. System asked me to contact tech support, which I did. Tech support asked me to call Ed Fiero, which I did three times, Mr. Fiero has not returned my call. SUPERVISED 04-02-1997 4601 50TH STREET SUITE 202 LUBBOCK TX 79414-3518 LOCATED 04-02-1997 Christopher Tommy Mayes 04-1997 CAPROCK SECURITIES, INC Lubbock TX 79414 Y Y Executive Vice President Y 01-1988 Studio K Glassworks 407 Arroyo Vista Drive Manchaca TX 78652 N N Glass design and manufacture CFO/ Wife 1 Write Checks N N N N N N N N N N N N N N Y N Y N N N N N N N N N N N N N N N N N N Y N N N N N N N N N N N N N N 08-19-2014 Christopher Thomas Mayes Executive Vice President Christopher Thomas Mayes 000717727 00000 6D(1)(b) Christopher Thomas Mayes 000717727 00000 6D(1)(d) Christopher Thomas Mayes 000717727 00000 6H(1)(c)