Frederic W. Bernard
Professional summary
Frederic William Bernard, who also goes by Frederic Willliam Bernard, Ric Bernard, Rick Bernard, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frederic William Bernard's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 24, 2022 - Present
TCBI SECURITIES, INC.
Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201August 11, 2021 - June 22, 2022
HUDSON PARTNERS SECURITIES LLC
April 29, 2013 - October 23, 2018
MUFG SECURITIES AMERICAS INC.
November 17, 2010 - February 7, 2012
CANTOR FITZGERALD & CO.
June 23, 2009 - October 20, 2010
KNIGHT LIBERTAS LLC
November 30, 1992 - February 17, 1993
LEHMAN SPECIAL SECURITIES INC.
November 30, 1992 - February 17, 1993
LEHMAN GOVERNMENT SECURITIES INC.
November 30, 1992 - March 17, 2008
LEHMAN BROTHERS INC.
July 3, 1991 - August 12, 1991
NOMURA SECURITIES INTERNATIONAL, INC.
October 19, 1988 - August 27, 1990
TULLETT & TOKYO SECURITIES, INC.
April 29, 1987 - August 3, 1988
LEHMAN BROTHERS 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
(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
FINRA
Current 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 |
| 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.
Company Information
TCBI SECURITIES, INC.
CRD#: 313304Dallas, TX 75201TRUST BUT VERIFY
Monitor Frederic Bernard
Get automatic monthly alerts on:
