DB
David B. Bain
TCBI SECURITIES
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 4360808
DB
Professional summary
David Brian Bain, who also goes by David B. Bain, David Bain, is a registered financial professional currently at TCBI SECURITIES, INC. located in Dallas, Texas.
David is registered as a RR (Registered Representative) and started their career in finance in 2001. David has worked at 8 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David B. Bain | David Bain
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 David Brian Bain'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 25, 2025 - Present
TCBI SECURITIES, INC.
Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201BD
CRD#: 313304
Dallas, TX
Past
February 21, 2024 - March 4, 2025
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
LOS ANGELES, CA
Past
March 10, 2021 - October 24, 2023
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
LOS ANGELES, CA
Past
May 25, 2017 - March 11, 2021
ROTH CAPITAL PARTNERS, LLC
BD
CRD#: 15407
Las Vegas, NV
Past
November 28, 2016 - May 25, 2017
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
April 20, 2015 - June 30, 2016
CRT CAPITAL GROUP LLC
BD
CRD#: 28830
Newport Beach, CA
Past
March 5, 2007 - April 20, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
NEWPORT BEACH, CA
Past
March 3, 2004 - February 15, 2007
MERRIMAN CAPITAL, INC.
BD
CRD#: 18296
NEWPORT BEACH, CA
Past
April 3, 2002 - February 24, 2004
THE SEIDLER COMPANIES INCORPORATED
BD
CRD#: 3911
LOS ANGELES, CA
Past
April 16, 2001 - April 10, 2002
ROTH CAPITAL PARTNERS, LLC
BD
CRD#: 15407
NEWPORT BEACH, CA
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(3/25/2025)
RR
Alaska(3/25/2025)
RR
Arizona(3/25/2025)
RR
Arkansas(3/25/2025)
RR
California(3/25/2025)
RR
Colorado(3/25/2025)
RR
Connecticut(3/25/2025)
RR
Delaware(3/25/2025)
RR
District of Columbia(3/25/2025)
RR
Florida(3/25/2025)
RR
Georgia(3/25/2025)
RR
Hawaii(3/25/2025)
RR
Idaho(3/25/2025)
RR
Illinois(3/25/2025)
RR
Indiana(3/25/2025)
RR
Iowa(3/25/2025)
RR
Kansas(3/25/2025)
RR
Kentucky(3/25/2025)
RR
Louisiana(3/25/2025)
RR
Maine(3/25/2025)
RR
Maryland(3/25/2025)
RR
Massachusetts(3/25/2025)
RR
Michigan(3/25/2025)
RR
Minnesota(3/25/2025)
RR
Mississippi(3/25/2025)
RR
Missouri(3/25/2025)
RR
Montana(3/25/2025)
RR
Nebraska(3/25/2025)
RR
Nevada(3/25/2025)
RR
New Hampshire(3/25/2025)
RR
New Jersey(3/25/2025)
RR
New Mexico(3/25/2025)
RR
New York(3/25/2025)
RR
North Carolina(3/25/2025)
RR
North Dakota(3/25/2025)
RR
Ohio(3/26/2025)
RR
Oklahoma(3/25/2025)
RR
Oregon(3/25/2025)
RR
Pennsylvania(3/25/2025)
RR
Puerto Rico(3/25/2025)
RR
Rhode Island(3/25/2025)
RR
South Carolina(3/25/2025)
RR
South Dakota(3/25/2025)
RR
Tennessee(3/25/2025)
RR
Texas(3/25/2025)
RR
Utah(3/25/2025)
RR
Vermont(3/25/2025)
RR
Virgin Islands(3/25/2025)
RR
Virginia(3/25/2025)
RR
Washington(3/25/2025)
RR
West Virginia(3/25/2025)
RR
Wisconsin(3/25/2025)
RR
Wyoming(3/25/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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 |
| 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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