0000314550-15-000003.txt : 20150511
0000314550-15-000003.hdr.sgml : 20150511
20150511101920
ACCESSION NUMBER: 0000314550-15-000003
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20150508
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-04661
FILM NUMBER: 15849263
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/A
1
primary_doc.xml
MA-I/A
0000314550
XXXXXXXX
Christopher Thomas Mayes
5123220133
cmayes@caprocksecurities.com
dallison@caprocksecurities.com
N
Y
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
05-08-2015
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)