Roy G. Popham
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.
Roy G Popham, who also goes by Roy Grady Popham, Roy Popham, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1987. Roy had worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 22TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2023 - May 19, 2025
TCBI SECURITIES, INC.
February 1, 2021 - May 19, 2025
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
December 23, 2020 - June 2, 2023
KINGSWOOD CAPITAL PARTNERS, LLC
October 1, 2008 - May 15, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2008 - December 21, 2020
J.P. MORGAN SECURITIES LLC
September 27, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 1, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
October 26, 1990 - September 27, 2006
BANC ONE SECURITIES CORPORATION
October 26, 1990 - July 1, 2006
BANC ONE SECURITIES CORPORATION
September 7, 1990 - October 26, 1990
MBANK CAPITAL MARKETS, INC.
January 30, 1987 - September 29, 1987
MPACT BROKERS INC.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationCurrent 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.
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