Joel B. Colpitts
Professional summary
Joel Brian Colpitts, who also goes by Joel Brian Colpitts, Joel Colpitts, is a registered financial professional currently at TCBI SECURITIES, INC. located in Dallas, Texas.
Joel is registered as a RR (Registered Representative) and started their career in finance in 1993. Joel has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joel Brian Colpitts's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 21, 2021 - Present
TCBI SECURITIES, INC.
Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201February 18, 2021 - August 16, 2021
PURSHE KAPLAN STERLING INVESTMENTS
October 25, 2019 - January 8, 2021
AVANTAX INVESTMENT SERVICES, INC.
March 21, 2013 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
January 28, 2008 - April 10, 2013
ESPOSITO SECURITIES, LLC
May 2, 2007 - November 14, 2007
INVESTMENT PROFESSIONALS, INC.
February 27, 1995 - April 23, 1999
MORGAN STANLEY DW INC.
September 10, 1993 - December 2, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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
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Company Information
TCBI SECURITIES, INC.
CRD#: 313304Dallas, TX 75201TRUST BUT VERIFY
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