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SR

Susan K. Ross

TRB CAPITAL MARKETS
DALLAS, TX 75201
Some features on this profile are disabled
CRD#: 1428365
SR

Professional summary

Susan Kelli Ross, who also goes by Kelli Ross, is a registered financial professional currently at TRB CAPITAL MARKETS, LLC located in Dallas, Texas.

Susan is registered as a RR (Registered Representative) and started their career in finance in 1992. Susan has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kelli Ross

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 Susan Kelli Ross'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 12, 2024 - Present

TRB CAPITAL MARKETS, LLC

Office #1: Plaza Of The Americas, South Tower 600 North Pearl Street, Suite 2100, Dallas, TX 75201
BD
CRD#: 322618
DALLAS, TX
Past

November 2, 2021 - September 30, 2024

ESTRADA HINOJOSA & COMPANY, INC.

BD
CRD#: 19299
DALLAS, TX
Past

December 3, 2019 - November 1, 2021

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
TAMPA, FL
Past

February 26, 2016 - April 4, 2018

FIRST INTEGRITY CAPITAL PARTNERS CORP.

BD
CRD#: 146049
Dallas, TX
Past

September 24, 1997 - December 3, 2015

FIRST SOUTHWEST COMPANY, LLC

BD
CRD#: 316
DALLAS, TX
Past

March 22, 1995 - November 13, 1996

TITUS & DONNELLY LLC

BD
CRD#: 7033
NEW YORK, NY
Past

June 22, 1992 - February 24, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
Texas
(8/12/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/8/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/4/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1992
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRB CAPITAL MARKETS, LLC
ESTRADA HINOJOSA | TRB CAPITAL MARKETS, LLC

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

BD
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)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEXAS REGIONAL BANKOWNER
COULTER, ROBERT VINCENTCHIEF COMPLIANCE OFFICER/MUNICIPAL SECURITIES PRINCIPAL4211707
HEBERT, MICHAEL JAMESCOMPLIANCE OFFICER/VP/SROP1229298
HINOJOSA, NOE JRPRESIDENT - MUNICIPAL BANKING1782212
JOHNSON, KRISTY KAYFINOP4470948
TIPPIT, JOHN LEE IVCEO/PRESIDENT OF CAPITAL MARKETS5809446

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

TRB CAPITAL MARKETS, LLC

CRD#: 322618Dallas, TX 75201

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