Joseph Zorn

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

Dallas, TX 75201

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CRD#: 2600959

Professional summary

Joseph Zorn Jr, who also goes by Jody Zorn, Joseph Richard Zorn Jr, Joseph Zorn, 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.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Joseph has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jody Zorn | Joseph Richard Zorn Jr | Joseph Zorn

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.

TRUSTEE OF PARENT'S TRUST; INV. RELATED; DALLAS, TX; START DATE 3/2018; 4 HRS PER MONTH; 0 HRS DURING TRADING. TRUSTEE OF PARENT'S TRUST FBO CHILDREN; INV. RELATED; DALLAS, TX; START DATE 3/2018; 4 HRS PER MONTH; 0 HRS DURING TRADING. Texas Capital Bank; Investment-related; 2000 McKinney Ave., Ste. 1800, Dallas, TX; Private Client Advisor; started September 2022; 160 hours per month and 130 hours during trading hours. Dallas Metropolitan YMCA | Board Director | Serve Not For Profit 501c(3) as volunteer | Started 01/01/2018 | 4 hours monthly | $0.00 compensation

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Zorn Jr'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®

None

Experience

Current

October 4, 2022 - Present

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

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

RIA

CRD#: 298422

Dallas, TX

Current

February 27, 2023 - Present

TCBI SECURITIES, INC.

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

CRD#: 313304

Dallas, TX

Past

January 4, 2018 - December 1, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DALLAS, TX

Past

January 4, 2018 - December 1, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DALLAS, TX

Past

October 2, 2015 - May 18, 2017

LPL FINANCIAL LLC

CRD#: 6413

AUSTIN, TX

Past

August 26, 2015 - May 18, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

AUSTIN, TX

Past

June 14, 2010 - August 28, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

HOUSTON, TX

Past

October 20, 2009 - August 28, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

HOUSTON, TX

Past

October 16, 2006 - December 23, 2008

TRUE NORTH ADVISORS, LLC

RIA

CRD#: 116048

DALLAS, TX

Past

September 19, 2006 - November 6, 2006

AMERICAN SECURITIES GROUP, INC.

RIA

CRD#: 43730

DALLAS, TX

Past

May 10, 1995 - December 6, 2005

RETIREMENT ADVISORS OF AMERICA

RIA

CRD#: 106968

DALLAS, TX

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

IAR

Texas
(10/4/2022)

Texas
(2/27/2023)

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: 6/10/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/22/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/2009

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 3/13/1995

Non-Member General Securities 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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Advisor Monitoring

Firm Stability Insights

Joseph Zorn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Zorn Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCBI SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

TRUE NORTH ADVISORS, LLC

AMERICAN SECURITIES GROUP, INC.

RETIREMENT ADVISORS OF AMERICA

Primary Firm SEC Registration

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 6/10/2010

Series 65

Date: 3/22/1995

SIE

Date: 10/1/2018

Series 7

Date: 10/19/2009

Series 2

Date: 3/13/1995

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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