0000314550-15-000001.txt : 20150121 0000314550-15-000001.hdr.sgml : 20150121 20150121153029 ACCESSION NUMBER: 0000314550-15-000001 CONFORMED SUBMISSION TYPE: MA PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150112 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 SEC ACT: 1934 Act SEC FILE NUMBER: 867-01428 FILM NUMBER: 15538425 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 1 primary_doc.xml MA 0000314550 XXXXXXXX Christopher Thomas Mayes 5123220133 cmayes@caprocksecurities.com dallison@caprocksecurities.com CAPROCK SECURITIES, INC. 000008014 75-1622628 866-00720-00 008-24444 000008014 Texas State Securities Board 17072 Arizona 00000 Colorado 00000 Florida 00000 Kentucky 00000 New Mexico 00000 Ohio 00000 Oklahoma 00000 Washington 00000 4601 50TH STREET SUITE 202 LUBBOCK TX 79414-3518 806797-3513 8067972975 Add 5123220133 N 4601 50TH STREET SUITE 202 LUBBOCK TX 79414-3518 Daryl Eugene Allison

4601-50th St Suite 202 lubbock TX 79414

8067973513 8067972975 Christopher Thomas Mayes 5123220133 June TX 12-11-1978 N 11 1 1 0 0 1 Municipal Entities 0 0 0 Not Applicable Contingent Fees Not Applicable Advice Insurance Of MS Y Y N Broker-dealer municipal securities dealer or government securities broker or dealer 1 Add Broker-dealer municipal securities dealer or government securities broker or dealer Christopher Thomas Mayes Christopher Thomas Mayes 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 N Y Y Y Y N Y Y Y N Y N N Y Y Y N Daryl Eugene Allison President 12-11-1988 E Y 000008014 Arlie Fred Jobe Owner 12-11-1988 B N 000258743 1 9-G Jack Lyles Hutcheson N Jack Lyles Hutcheson 000839409 1656615 1 9-E2 Daryl Eugene Allison N Daryl Eugene Allison 000003686 131785 1 9-E2 Daryl Eugene Allison N 000003686 Daryl Eugene Allison 000003686 229151 1 9-D3 Daryl Eugene Allison N Daryl Eugene Allison 000003686 1480247 1 9-E3 Daryl Eugene Allison N Daryl Eugene Allison 000003686 1586984 1 9-D2 Larry Gordon Goldston N 001869099 Larrt Gordon Goldston 001869099 1447841 1 9-E2 Toni Leynett Robertson N Toni Leynett Robertson 004021430 1586759 1 9-D2 Christopher Thomas Mayes N Christopher Thomas Mayes 000717727 229153 1 9-E2 Christopher Thomas Mayes N Christopher Thomas Mayes 000717727 114497 9-E2 Caprock Securities, Inc. 000008014 1659727 9-E2 Caprock Securities, Inc. 000008014 1654961 9-E2 Caprock Securities, Inc. 000008014 1480286 9-E2 Caprock Securities, Inc. 000008014 1379941 9-E2 Caprock Securities, Inc. 000008014 234376 9-E2 Caprock Securities, Inc. 000008014 115861 9-E2 Caprock Securities, Inc. 000008014 115860 1 9-H2 Christopher Thomas Mayes N Christopher Thomas Mayes 000717727 229153 1 9-H2 Toni leynett Robertson N Toni Leynett Robertson 004021430 1656533 Christopher T. Mayes Christopher T. Mayes Executive Vice President 09-25-2014 000717727 N N N N N Y Y Y N N N N N N N N N N N N