Barbara E. Smallwood

TRB CAPITAL MARKETS

DALLAS, TX 75201

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CRD#: 1269340

Professional summary

Barbara Elizabeth Smallwood is a registered financial professional currently at TRB CAPITAL MARKETS, LLC located in Dallas, Texas.

Barbara is registered as a RR (Registered Representative) and started their career in finance in 1989. Barbara has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Barbara Elizabeth Smallwood'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

August 9, 2024 - Present

TRB CAPITAL MARKETS, LLC

Office #1: Plaza Of The Americas, South Tower 600 North Pearl Street, Suite 2100, Dallas, TX 75201

CRD#: 322618

DALLAS, TX

Past

June 6, 2023 - September 30, 2024

ESTRADA HINOJOSA & COMPANY, INC.

CRD#: 19299

DALLAS, TX

Past

April 4, 1989 - May 10, 2023

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

State Registrations and Notice Filings

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

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

Georgia
(4/3/2025)

Texas
(8/9/2024)

Exams

State Security Law Exam

Series 63

Date: 7/10/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/1/2022

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 1/2/1996

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TRB CAPITAL MARKETS, LLC

ESTRADA HINOJOSA | TRB CAPITAL MARKETS, LLC

CRD#: 322618 / SEC#: , 8-70999

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

6770 West Expressway 83, Harlingen, TX 78552

Mailing Address

6770 West Expressway 83, Harlingen, TX 78552

Phone number

(956) 682-2265

Established

Texas since 08/19/2022

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (21 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEXAS REGIONAL BANK	OWNER
COULTER, ROBERT VINCENT	CHIEF COMPLIANCE OFFICER/MUNICIPAL SECURITIES PRINCIPAL	4211707
HEBERT, MICHAEL JAMES	COMPLIANCE OFFICER/VP/SROP	1229298
HINOJOSA, NOE JR	PRESIDENT - MUNICIPAL BANKING	1782212
JOHNSON, KRISTY KAY	FINOP	4470948
TIPPIT, JOHN LEE IV	CEO/PRESIDENT OF CAPITAL MARKETS	5809446

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.

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Firm Stability Insights

Barbara E. Smallwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Barbara Elizabeth Smallwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

ESTRADA HINOJOSA & COMPANY, INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/10/1990

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/18/1989

Series 24

Date: 3/1/2022

Series 53

Date: 1/2/1996

FINRA

Current Firm

TRB CAPITAL MARKETS, LLC

Contact information

FINRA licenses (21 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TRB CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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