CM
Charles R. Moreau
TCBI SECURITIES
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 4687797
CM
Professional summary
Charles Richard Moreau, who also goes by Charles R Moreau, Charles Richard Moreau, Charles Moreau, is a registered financial professional currently at TCBI SECURITIES, INC. located in Dallas, Texas.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2004. Charles has worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 87, Series 86, Series 79, Series 7, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles R Moreau | Charles Richard Moreau | Charles Moreau
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 Charles Richard Moreau'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
May 15, 2025 - Present
TCBI SECURITIES, INC.
Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201BD
CRD#: 313304
Dallas, TX
Past
May 24, 2017 - May 9, 2025
OPPENHEIMER & CO. INC.
BD
CRD#: 249
SCOTTSDALE, AZ
Past
September 23, 2014 - April 3, 2017
VIRTU ITG LLC
BD
CRD#: 29299
NEW YORK, NY
Past
July 2, 2012 - September 15, 2014
VIRTU AMERICAS LLC
BD
CRD#: 149823
NEW YORK, NY
Past
March 21, 2012 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
BD
CRD#: 38599
JERSEY CITY, NJ
Past
February 19, 2008 - January 12, 2012
WJB CAPITAL GROUP, INC.
BD
CRD#: 37334
NEW YORK, NY
Past
February 9, 2004 - April 29, 2005
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
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(5/15/2025)
RR
Alaska(5/15/2025)
RR
Arizona(5/15/2025)
RR
Arkansas(5/15/2025)
RR
California(5/15/2025)
RR
Colorado(5/15/2025)
RR
Connecticut(5/15/2025)
RR
Delaware(5/15/2025)
RR
District of Columbia(5/15/2025)
RR
Florida(5/15/2025)
RR
Georgia(5/15/2025)
RR
Hawaii(5/15/2025)
RR
Idaho(5/15/2025)
RR
Illinois(5/15/2025)
RR
Indiana(5/15/2025)
RR
Iowa(5/15/2025)
RR
Kansas(5/15/2025)
RR
Kentucky(5/15/2025)
RR
Louisiana(5/15/2025)
RR
Maine(5/15/2025)
RR
Maryland(5/15/2025)
RR
Massachusetts(5/15/2025)
RR
Michigan(5/15/2025)
RR
Minnesota(5/15/2025)
RR
Mississippi(5/15/2025)
RR
Missouri(5/15/2025)
RR
Montana(5/15/2025)
RR
Nebraska(5/15/2025)
RR
Nevada(5/15/2025)
RR
New Hampshire(5/15/2025)
RR
New Jersey(5/15/2025)
RR
New Mexico(5/15/2025)
RR
New York(5/15/2025)
RR
North Carolina(5/15/2025)
RR
North Dakota(5/15/2025)
RR
Ohio(5/15/2025)
RR
Oklahoma(5/15/2025)
RR
Oregon(5/15/2025)
RR
Pennsylvania(5/15/2025)
RR
Puerto Rico(5/15/2025)
RR
Rhode Island(5/15/2025)
RR
South Carolina(5/15/2025)
RR
South Dakota(5/15/2025)
RR
Tennessee(5/15/2025)
RR
Texas(5/15/2025)
RR
Utah(5/15/2025)
RR
Vermont(5/15/2025)
RR
Virgin Islands(5/15/2025)
RR
Virginia(5/15/2025)
RR
Washington(5/15/2025)
RR
West Virginia(5/15/2025)
RR
Wisconsin(5/15/2025)
RR
Wyoming(5/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
Monitor Charles Moreau
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
