Steven Jones
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Jones, who also goes by Steven Berkeley Jones, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 12 firms and has passed the Series 63, Series 79TO, Series 16, Series 86, Series 87, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2025 - November 25, 2025
TCBI SECURITIES, INC.
April 25, 2024 - June 24, 2024
H.C.WAINWRIGHT & CO., LLC
March 15, 2024 - May 28, 2025
RODMAN & RENSHAW, LLC
September 14, 2022 - January 3, 2023
QUIET LIGHT SECURITIES, LLC
April 19, 2017 - November 11, 2020
BTIG, LLC
May 28, 2015 - December 15, 2016
U.S. BANCORP INVESTMENTS, INC.
July 22, 2013 - April 15, 2015
KEYBANC CAPITAL MARKETS INC.
October 18, 2007 - July 22, 2013
BNP PARIBAS SECURITIES CORP.
July 1, 2003 - August 9, 2007
WELLS FARGO SECURITIES, LLC
November 12, 2002 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
March 16, 1998 - January 26, 2000
BANC OF AMERICA SECURITIES LLC
September 13, 1995 - April 10, 1998
FORUM CAPITAL MARKETS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 12/5/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 12/5/2023
Securities Trader ExamSeries 55
Date: 7/12/2004
Limited Representative-Equity Trader ExamCurrent Firm
TCBI SECURITIES, INC.
CRD#: 313304 / SEC#: , 8-70682
Contact information
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 |
| GETTY, JOSEPH MATTHEW | AMLCO | 6343874 |
| 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.
