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JB

James M. Brown

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
Austin, TX 78701
Some features on this profile are disabled
CRD#: 1215292
JB

Professional summary

James Marcus Brown is a registered financial advisor currently at TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS located in Austin, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Marcus Brown's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 3, 2025 - Present

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

Office #1: 98 San Jacinto Boulevard, Suite 200, Austin, TX 78701
RIA
CRD#: 298422
Austin, TX
Past

April 3, 2002 - July 12, 2005

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
BIRMINGHAM, AL
Past

January 25, 2002 - April 3, 2002

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

November 23, 1983 - March 19, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TC
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS | TEXAS CAPITAL BANK WEALTH MANAGEMENT SERVICES, INC.

CRD#: 298422 / SEC#: 801-114364

RIA
Registered Investment Advisory firm - (11/29/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Texas
(5/3/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/2/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/10/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/9/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/11/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 4/25/1985
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 8
Date: 10/9/1987
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

TC
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS | TEXAS CAPITAL BANK WEALTH MANAGEMENT SERVICES, INC.

CRD#: 298422 / SEC#: 801-114364

RIA
Registered Investment Advisory firm - (11/29/2018 Approved)
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Contact information

Main Address
2000 Mckinney Avenue Suite 1800, Dallas, TX 75201
Mailing Address
Phone number
(214) 210-3092
Established
Firm type
Fiscal year end
# of Employees
101

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (10/17/2025)
TEXAS CAPITAL PRIVATE WEALTH ADVISORS WRAP BROCHURE (5/26/2025)

Regulatory assets under management

Total Number of Accounts1,982
AUM (Assets Under Management)$ 3,471,701,060

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

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

CRD#: 298422Austin, TX 78701

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