Alfonso P. Tadeo
Professional summary
Alfonso Paragas Tadeo, who also goes by Al Tadeo, is a registered financial advisor currently at TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS located in Dallas, Texas and TCBI SECURITIES, INC. located in Dallas, Texas.
Alfonso is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Alfonso has worked at 18 firms and has passed the Series 66, Series 63, Series 6TO, Series 79TO, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alfonso Paragas Tadeo's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 28, 2023 - Present
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
Office #1: 2000 Mckinney Avenue Suite 1800, Dallas, TX 75201February 28, 2023 - Present
TCBI SECURITIES, INC.
Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201March 18, 2022 - February 28, 2023
LEVEL FOUR ADVISORY SERVICES
September 8, 2021 - February 28, 2023
LEVEL FOUR FINANCIAL, LLC
February 3, 2021 - August 24, 2021
PURSHE KAPLAN STERLING INVESTMENTS
February 13, 2019 - February 16, 2021
COBRA TRADING, INC.
March 28, 2018 - February 8, 2019
AVANTAX INVESTMENT SERVICES, INC.
May 25, 2010 - May 9, 2017
CAPIS
December 15, 2008 - May 24, 2010
PENSON FINANCIAL SERVICES, INC.
December 1, 2003 - April 30, 2004
BANC ONE SECURITIES CORPORATION
June 18, 2003 - July 23, 2003
BRUNDYN SECURITIES INC.
April 3, 2001 - January 13, 2003
1ST GLOBAL CAPITAL CORP.
September 6, 2000 - March 22, 2001
U.S. BANCORP ADVISORS, LLC
February 16, 1999 - August 10, 2000
U.S. BANCORP ADVISORS, LLC
February 15, 1998 - January 6, 1999
EQUITABLE DISTRIBUTORS, LLC
September 5, 1997 - January 5, 1998
WAMU INVESTMENTS, INC.
April 26, 1996 - August 29, 1997
GRIFFIN FINANCIAL SERVICES
December 7, 1994 - November 9, 1995
SAN CLEMENTE SECURITIES, INC.
June 24, 1994 - November 1, 1994
COASTLINE FINANCIAL, INC.
Primary Firm SEC Registration
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422 / SEC#: 801-114364
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/28/2023)
(3/1/2023)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422 / SEC#: 801-114364
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,982 |
| AUM (Assets Under Management) | $ 3,471,701,060 |
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
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422Dallas, TX 75201TRUST BUT VERIFY
Monitor Alfonso Tadeo
Get automatic monthly alerts on:
