Jennifer L. Guthrie

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CRD#: 4044753

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.

Jennifer Leigh Guthrie, CFP® was a registered financial professional .

Jennifer is a previously registered financial professional and started their career in finance in 2000. Jennifer had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

1) Name of Business : Texas Capital Bank Private Wealth Advisors. Address: Austin, TX. Nature of the Business: Bank/Credit Union Associate Position/Title: Employee Investment Related: Yes. Start Date: 03/30/2015. Hours per month devoted to this business: 160. Hours per month devoted to this business during trading hours: 160. Description of duties: I am a private banker and relationship manager in the Private Wealth Advisors group. 2) Texas Capital Bank Wealth Management Services. Austin, Texas. Start Date: 1/22/20; Title: Insurance Sales/Service. Not investment related. Number of hours per month: 1; number of hours per month during trading hours: 0. Duties: Identify opportunities where insurance could be used as a solution and partner with others to provide advice and product to the client.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

CRD#: 16999

AUSTIN, 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/29/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/9/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/27/2000

Investment Company Products/Variable Contracts Representative Examination

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

Jennifer L. Guthrie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KINGSWOOD CAPITAL PARTNERS, LLC

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RAYMOND JAMES FINANCIAL SERVICES, INC.

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J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 1/29/2002

SIE

Date: 10/1/2018

Series 7

Date: 1/9/2002

Series 6

Date: 1/27/2000

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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