Hussain A. Fawaz

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

Dallas, TX 75201

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CRD#: 4061500

Professional summary

Hussain Ali Fawaz, who also goes by Hussian Ali Fawaz, Ali Fawaz, 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.

Hussain is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Hussain has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hussian Ali Fawaz | Ali Fawaz

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.

-Texas Capital Bank; Investment-related; 2000 McKinney Ave., Ste. 1800, Dallas, TX; Defined Contribution Advisor; started May 2024; 160 hours per month and 130 hours during trading hours. -Capstone Gifted*No Invest*Mckinney Tx *Shareholder*Educational consulting*1/8/16*6 Hrs per mnth/0 Trade*Minor book keeping and marketing duties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hussain Ali Fawaz'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

July 15, 2024 - Present

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

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

RIA

CRD#: 298422

Dallas, TX

Current

May 28, 2024 - Present

TCBI SECURITIES, INC.

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

CRD#: 313304

Dallas, TX

Past

May 22, 2023 - May 24, 2024

MID ATLANTIC CLEARING & SETTLEMENT CORPORATION

CRD#: 37466

PITTSBURGH, PA

Past

August 14, 2017 - August 25, 2022

SENTRY EQUITY SERVICES, INC.

CRD#: 5069

STEVENS POINT, WI

Past

May 25, 2016 - April 3, 2017

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

DALLAS, TX

Past

August 6, 2015 - May 16, 2016

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

December 6, 2012 - January 3, 2015

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

DALLAS, TX

Past

April 9, 2012 - November 19, 2012

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

DALLAS, TX

Past

November 13, 2007 - March 8, 2012

OSAIC FA, INC.

RIA

CRD#: 3978

MCKINNEY, TX

Past

October 4, 2007 - March 8, 2012

OSAIC FA, INC.

CRD#: 3978

MCKINNEY, TX

Past

March 7, 2007 - August 27, 2007

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

August 16, 2005 - December 10, 2005

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

November 17, 2003 - June 17, 2004

VERITRUST FINANCIAL, LLC

CRD#: 106594

AUSTIN, TX

Past

September 16, 2003 - June 17, 2004

VERITRUST FINANCIAL, LLC

RIA

CRD#: 106594

FORT WORTH, TX

Past

February 3, 2000 - October 22, 2001

CONSORTIUM INVESTMENTS, LTD.

CRD#: 45832

WACO, 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

Texas
(5/28/2024)

IAR

Texas
(7/15/2024)

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

IAR

Series 65

Date: 7/13/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/1/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/2/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/5/2020

Investment Company Products/Variable Contracts Principal 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

Hussain A. Fawaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hussain Ali Fawaz's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCBI SECURITIES, INC.

MID ATLANTIC CLEARING & SETTLEMENT CORPORATION

SENTRY EQUITY SERVICES, INC.

EMPOWER FINANCIAL SERVICES, INC.

1ST GLOBAL CAPITAL CORP.

EMPOWER FINANCIAL SERVICES, INC.

PURSHE KAPLAN STERLING INVESTMENTS

OSAIC FA, INC.

OSAIC FA, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

AVANTAX INVESTMENT SERVICES, INC.

VERITRUST FINANCIAL, LLC

VERITRUST FINANCIAL, LLC

CONSORTIUM INVESTMENTS, LTD.

Primary Firm SEC Registration

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/2024

Series 63

Date: 12/1/1999

SIE

Date: 10/1/2018

Series 6

Date: 2/2/2000

Series 26

Date: 8/5/2020

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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