Frederic William Bernard
Professional Summary
Frederic William Bernard, who also goes by Frederic Willliam Bernard, Ric Bernard, Rick Bernard, is a registered financial advisor currently at TCBI SECURITIES, INC. located in Dallas, Texas. Frederic is registered as a RR (Registered Representative) and started their career in finance in 1987. Frederic has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Frederic Willliam Bernard, Ric Bernard, Rick Bernard
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
TCBI SECURITIES | TEXAS CAPITAL SECURITIES | TCBI SECURITIES, INC.
Contact Information
Main Address
2000 Mckinney Avenue Suite 700, Dallas, TX 75201Mailing Address
2000 Mckinney Avenue Suite 700, Dallas, TX 75201Phone Number
(214) 932-6671Established
Texas since 03/03/2021Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| CUMMINGS, JOHN WILLIAM | DIRECTOR | 2729018 |
| GENYK, STEVEN | MUNICIPAL SECURITIES PRINCIPAL | 2324120 |
| GETTY, JOSEPH MATTHEW | AMLCO | 6343874 |
| HOLMES, ROBERT C | DIRECTOR | 2948416 |
| HOVERMAN, DANIEL STEPHENS | DIRECTOR, PRESIDENT | 5281289 |
| RIVERA, JASON | CHIEF COMPLIANCE OFFICER | 5010925 |
| SCURLOCK, JOHN MATTHEW | DIRECTOR | 7521986 |
| YOUNGBERG, DAVID ALLEN | DIRECTOR | 3108225 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(8/29/2022)
(8/5/2022)
(8/26/2022)
(8/24/2022)
(7/19/2022)
(7/29/2022)
(6/24/2022)
(9/19/2022)
(9/1/2022)
(9/28/2022)
(9/14/2022)
(9/1/2022)
(8/24/2022)
(8/24/2022)
(7/25/2022)
(6/29/2022)
(6/29/2022)
(7/29/2022)
(8/31/2022)
(6/29/2022)
(6/30/2022)
(6/30/2022)
(8/26/2022)
(8/1/2022)
(8/1/2022)
(6/29/2022)
(6/29/2022)
(7/1/2022)
(7/29/2022)
(8/22/2022)
(7/15/2022)
(7/29/2022)
(10/3/2022)
(7/1/2022)
(10/4/2022)
(6/29/2022)
(8/2/2022)
(7/11/2022)
(6/29/2022)
(8/1/2022)
(7/29/2022)
(9/14/2022)
(9/1/2022)
(7/28/2022)
(6/25/2022)
(6/29/2022)
(8/26/2022)
(8/31/2022)
(7/30/2022)
(7/29/2022)
(8/8/2022)
(6/29/2022)
(10/3/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Frederic William Bernard's CRS (Customer Relationship Summary).
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