Neal A. Hiett

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

Dallas, TX 75201

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CRD#: 2099325

Professional summary

Neal Allen Hiett, CFP® 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.

Neal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Neal has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

Texas Capital Bank - Yes investment related - 2000 McKinney Ave Ste 1800, Dallas, TX 75201 - Insurance Strategist - June 2024 - 160hrs/mo - 130hrs/mo during trading hrs

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neal Allen Hiett's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

July 16, 2024 - Present

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

Office #1: 2000 Mckinney Avenue Suite 1800, Dallas, TX 75201

RIA

CRD#: 298422

Dallas, TX

Current

June 25, 2024 - Present

TCBI SECURITIES, INC.

Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201

CRD#: 313304

Dallas, TX

Past

June 14, 2022 - June 11, 2024

P.J. ROBB VARIABLE, LLC

CRD#: 38339

MEMPHIS, TN

Past

June 12, 2017 - October 8, 2021

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

Chandler, AZ

Past

June 2, 2017 - October 8, 2021

BBVA SECURITIES INC.

CRD#: 27060

CHANDLER, AZ

Past

April 2, 2012 - February 5, 2016

EQUITABLE ADVISORS, LLC

CRD#: 6627

CHANDLER, AZ

Past

February 6, 2007 - April 5, 2012

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

SCOTTSDALE, AZ

Past

July 30, 2001 - October 15, 2003

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

PHOENIX, AZ

Past

October 24, 1990 - April 5, 2012

NYLIFE SECURITIES LLC

CRD#: 5167

CHANDLER, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS | TEXAS CAPITAL BANK WEALTH MANAGEMENT SERVICES, INC.

CRD#: 298422 / SEC#: 801-114364

RIA

Registered Investment Advisory firm - (11/29/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(6/25/2024)

IAR

Texas
(7/16/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/25/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/22/1990

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS | TEXAS CAPITAL BANK WEALTH MANAGEMENT SERVICES, INC.

CRD#: 298422 / SEC#: 801-114364

RIA

Registered Investment Advisory firm - (11/29/2018 Approved)

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Contact information

Main Address

2000 Mckinney Avenue Suite 1800, Dallas, TX 75201

Mailing Address

Phone number

(214) 210-3092

Established

Firm type

Fiscal year end

# of Employees

101

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (10/17/2025)

TEXAS CAPITAL PRIVATE WEALTH ADVISORS WRAP BROCHURE (5/26/2025)

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.

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Firm Stability Insights

Neal A. Hiett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neal Allen Hiett's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCBI SECURITIES, INC.

P.J. ROBB VARIABLE, LLC

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

EQUITABLE ADVISORS, LLC

EAGLE STRATEGIES LLC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 10/25/1990

SIE

Date: 10/1/2018

Series 6

Date: 10/22/1990

FINRA

Current Firm

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

TRUST BUT VERIFY

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