Perry B. Stephenson
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.
Perry Bristoll Stephenson was a registered financial professional .
Perry is a previously registered financial professional and started their career in finance in 1998. Perry had worked at 5 firms and has passed the Series 66, Series 63, Series 79TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2022 - June 24, 2026
TCBI SECURITIES, INC.
May 10, 2019 - April 10, 2022
BOFA SECURITIES, INC.
November 1, 2010 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 13, 2005 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
December 3, 2002 - December 31, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 2, 2001 - December 31, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 11, 1998 - May 29, 2001
BANC OF AMERICA SECURITIES LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative 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 |
| GETTY, JOSEPH MATTHEW | AMLCO | 6343874 |
| 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
