Simon D. Walker
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.
Simon David Walker, who also goes by Simon D Walker, Simon Walker, was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 2004. Simon had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2023 - July 10, 2025
TCBI SECURITIES, INC.
May 3, 2022 - February 1, 2023
THE BENCHMARK COMPANY, LLC
August 18, 2020 - April 28, 2022
IMPERIAL CAPITAL, LLC
August 15, 2017 - August 9, 2018
MIZUHO SECURITIES USA LLC
March 17, 2011 - February 17, 2017
UBS SECURITIES LLC
October 13, 2010 - December 8, 2010
NATWEST MARKETS SECURITIES INC.
October 22, 2007 - August 12, 2010
UBS SECURITIES LLC
October 25, 2004 - September 20, 2007
CITIGROUP GLOBAL MARKETS 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
Current 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
