Kurt M. Steves
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kurt Monier Steves was a registered financial professional .
Kurt is a previously registered financial professional and started their career in finance in 1996. Kurt had worked at 8 firms and has passed the Series 63, Series 65, Series 6TO, Series 82TO, Series 22TO, Series 99TO, SIE, Series 7, Series 79 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2023 - April 25, 2025
TCBI SECURITIES, INC.
August 11, 2017 - March 23, 2021
TRUIST SECURITIES, INC.
February 1, 2012 - August 29, 2017
FIFTH THIRD SECURITIES, INC.
May 3, 2000 - April 6, 2004
J.P. MORGAN SECURITIES INC.
May 3, 2000 - May 1, 2007
J.P. MORGAN SECURITIES INC.
March 2, 1998 - March 30, 1999
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
June 16, 1997 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
August 5, 1996 - May 6, 1997
MORGAN STANLEY DW 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
Exams
Series 6TO
Date: 1/10/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 82TO
Date: 1/10/2023
Limited Representative-Private Securities OfferingsSeries 22TO
Date: 1/10/2023
Direct Participation Programs Representative ExaminationSeries 99TO
Date: 1/10/2023
Operations Professional ExaminationCurrent 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.
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