PC
Patrick J. Caufield
TCBI SECURITIES
Dallas, TX 75201
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CRD#: 1110385
PC
Professional summary
Patrick John Caufield is a registered financial professional currently at TCBI SECURITIES, INC. located in Dallas, Texas.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1983. Patrick has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Patrick John Caufield's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 2, 2025 - Present
TCBI SECURITIES, INC.
Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201BD
CRD#: 313304
Dallas, TX
Past
July 10, 2023 - June 20, 2025
ROTH CAPITAL PARTNERS, LLC
BD
CRD#: 15407
STAMFORD, CT
Past
December 9, 2014 - March 2, 2023
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
NEW YORK, NY
Past
April 1, 2009 - October 15, 2014
MACQUARIE CAPITAL (USA) INC.
BD
CRD#: 36368
NEW YORK, NY
Past
September 7, 1995 - April 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
March 2, 1990 - September 1, 1995
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
November 20, 1985 - March 6, 1990
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
STAMFORD, CT
Past
June 16, 1983 - November 18, 1985
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
April 20, 1983 - August 17, 1983
BOENNING & SCATTERGOOD, INC.
BD
CRD#: 100
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/2/2025)
RR
Alaska(7/2/2025)
RR
Arizona(7/2/2025)
RR
Arkansas(7/2/2025)
RR
California(7/2/2025)
RR
Colorado(7/2/2025)
RR
Connecticut(7/2/2025)
RR
Delaware(7/2/2025)
RR
District of Columbia(7/2/2025)
RR
Florida(7/2/2025)
RR
Georgia(7/2/2025)
RR
Hawaii(7/2/2025)
RR
Idaho(7/2/2025)
RR
Illinois(7/2/2025)
RR
Indiana(7/2/2025)
RR
Iowa(7/2/2025)
RR
Kansas(7/2/2025)
RR
Kentucky(7/2/2025)
RR
Louisiana(7/2/2025)
RR
Maine(7/2/2025)
RR
Maryland(7/2/2025)
RR
Massachusetts(7/2/2025)
RR
Michigan(7/2/2025)
RR
Minnesota(7/2/2025)
RR
Mississippi(7/2/2025)
RR
Missouri(7/2/2025)
RR
Montana(7/2/2025)
RR
Nebraska(7/2/2025)
RR
Nevada(7/2/2025)
RR
New Hampshire(7/2/2025)
RR
New Jersey(7/2/2025)
RR
New Mexico(7/2/2025)
RR
New York(7/2/2025)
RR
North Carolina(7/2/2025)
RR
North Dakota(7/2/2025)
RR
Ohio(7/7/2025)
RR
Oklahoma(7/2/2025)
RR
Oregon(7/2/2025)
RR
Pennsylvania(7/2/2025)
RR
Puerto Rico(7/2/2025)
RR
Rhode Island(7/2/2025)
RR
South Carolina(7/2/2025)
RR
South Dakota(7/2/2025)
RR
Tennessee(7/2/2025)
RR
Texas(7/2/2025)
RR
Utah(7/2/2025)
RR
Vermont(7/2/2025)
RR
Virgin Islands(7/2/2025)
RR
Virginia(7/2/2025)
RR
Washington(7/2/2025)
RR
West Virginia(7/2/2025)
RR
Wisconsin(7/2/2025)
RR
Wyoming(7/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/3/1998
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TS
TCBI SECURITIES, INC.
TCBI SECURITIES | TEXAS CAPITAL SECURITIES | TCBI SECURITIES, INC.
CRD#: 313304 / SEC#: , 8-70682
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2000 Mckinney Avenue Suite 700, Dallas, TX 75201
Mailing Address
2000 Mckinney Avenue Suite 700, Dallas, TX 75201
Phone number
(214) 932-6671
Established
Texas since 03/03/2021
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEXAS CAPITAL BANCSHARES, INC. | OWNER | |
| ALVARADO, ANNA MARIA | DIRECTOR | 4433966 |
| COLPITTS, JOEL BRIAN | PRINCIPAL FINANCIAL OFFICER AND FIN/OP | 2376942 |
| GENYK, STEVEN | MUNICIPAL SECURITIES PRINCIPAL | 2324120 |
| HOLMES, ROBERT C | DIRECTOR | 2948416 |
| HOVERMAN, DANIEL STEPHENS | DIRECTOR, PRESIDENT | 5281289 |
| OMAN, DAVID | DIRECTOR | 5685397 |
| RIVERA, JASON | CHIEF COMPLIANCE OFFICER | 5010925 |
| SCURLOCK, JOHN MATTHEW | DIRECTOR | 7521986 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TCBI SECURITIES, INC.
CRD#: 313304Dallas, TX 75201TRUST BUT VERIFY
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