SN
Shane D. Ness
TCBI SECURITIES
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 4034781
SN
Professional summary
Shane Derek Ness is a registered financial professional currently at TCBI SECURITIES, INC. located in Dallas, Texas.
Shane is registered as a RR (Registered Representative) and started their career in finance in 2000. Shane has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Shane Derek Ness's 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®
NoneExperience
Current
March 11, 2025 - Present
TCBI SECURITIES, INC.
Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201BD
CRD#: 313304
Dallas, TX
Past
February 16, 2005 - March 4, 2025
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
BOSTON, MA
Past
June 3, 2003 - January 31, 2005
TRILLIUM BROKERAGE SERVICES, LLC
BD
CRD#: 120064
NEW YORK, NY
Past
May 16, 2000 - June 5, 2003
HEARTLAND SECURITIES CORP.
BD
CRD#: 43201
EDISON, NJ
Past
January 21, 2000 - May 8, 2000
BOSTON INSTITUTIONAL SERVICES INCORPORATED
BD
CRD#: 5861
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(3/11/2025)
RR
Alaska(3/11/2025)
RR
Arizona(3/11/2025)
RR
Arkansas(3/11/2025)
RR
California(3/11/2025)
RR
Colorado(3/11/2025)
RR
Connecticut(3/11/2025)
RR
Delaware(3/11/2025)
RR
District of Columbia(3/11/2025)
RR
Florida(3/11/2025)
RR
Georgia(3/11/2025)
RR
Hawaii(3/11/2025)
RR
Idaho(3/11/2025)
RR
Illinois(3/11/2025)
RR
Indiana(3/11/2025)
RR
Iowa(3/11/2025)
RR
Kansas(3/11/2025)
RR
Kentucky(3/11/2025)
RR
Louisiana(3/11/2025)
RR
Maine(3/11/2025)
RR
Maryland(3/11/2025)
RR
Massachusetts(3/11/2025)
RR
Michigan(3/11/2025)
RR
Minnesota(3/11/2025)
RR
Mississippi(3/11/2025)
RR
Missouri(3/11/2025)
RR
Montana(3/11/2025)
RR
Nebraska(3/11/2025)
RR
Nevada(3/11/2025)
RR
New Hampshire(3/11/2025)
RR
New Jersey(3/11/2025)
RR
New Mexico(3/11/2025)
RR
New York(3/11/2025)
RR
North Carolina(3/11/2025)
RR
North Dakota(3/11/2025)
RR
Ohio(3/12/2025)
RR
Oklahoma(3/11/2025)
RR
Oregon(3/11/2025)
RR
Pennsylvania(3/11/2025)
RR
Puerto Rico(3/11/2025)
RR
Rhode Island(3/11/2025)
RR
South Carolina(3/11/2025)
RR
South Dakota(3/11/2025)
RR
Tennessee(3/11/2025)
RR
Texas(3/11/2025)
RR
Utah(3/11/2025)
RR
Vermont(3/11/2025)
RR
Virgin Islands(3/11/2025)
RR
Virginia(3/11/2025)
RR
Washington(3/11/2025)
RR
West Virginia(3/11/2025)
RR
Wisconsin(3/11/2025)
RR
Wyoming(3/11/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/24/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TS
TCBI SECURITIES, INC.
TCBI SECURITIES | TEXAS CAPITAL SECURITIES | TCBI SECURITIES, INC.
CRD#: 313304 / SEC#: , 8-70682
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2000 Mckinney Avenue Suite 700, Dallas, TX 75201
Mailing Address
2000 Mckinney Avenue Suite 700, Dallas, TX 75201
Phone number
(214) 932-6671
Established
Texas since 03/03/2021
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
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.
Company Information
TCBI SECURITIES, INC.
CRD#: 313304Dallas, TX 75201TRUST BUT VERIFY
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