Jacqueline S. Mata
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.
Jacqueline Sue Mata, who also goes by Jackie Auld, Jacqueline S Auld, Jacqueline Sue Auld, Jacqueline Auld, Jackie Mata, Jacqueline S Mata, was a registered financial professional .
Jacqueline is a previously registered financial professional and started their career in finance in 2003. Jacqueline had worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2019 - December 1, 2021
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
January 2, 2019 - December 1, 2021
KINGSWOOD CAPITAL PARTNERS, LLC
August 24, 2016 - December 31, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 22, 2016 - December 31, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 10, 2009 - August 25, 2016
J.P. MORGAN SECURITIES LLC
November 12, 2003 - January 31, 2005
MASLOW WEALTH ADVISORS
Primary Firm SEC Registration
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422 / SEC#: 801-114364
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
Series 7TO
Date: 3/25/2024
General Securities Representative ExaminationCurrent Firm
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422 / SEC#: 801-114364
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,982 |
| AUM (Assets Under Management) | $ 3,471,701,060 |
Red Flags
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