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KC

Kristen R. Cummins

TRB CAPITAL MARKETS
DALLAS, TX 75201
Some features on this profile are disabled
CRD#: 4823895
KC

Professional summary

Kristen Rose Cummins is a registered financial professional currently at TRB CAPITAL MARKETS, LLC located in Dallas, Texas.

Kristen is registered as a RR (Registered Representative) and started their career in finance in 2005. Kristen has worked at 4 firms and has passed the Series 63, Series 22TO, Series 52TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kristen Rose Cummins'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

May 15, 2025 - Present

TRB CAPITAL MARKETS, LLC

Office #1: Plaza Of The Americas, South Tower 600 North Pearl Street, Suite 2100, Dallas, TX 75201
BD
CRD#: 322618
DALLAS, TX
Past

August 14, 2009 - May 7, 2025

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

December 9, 2005 - August 12, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

February 7, 2005 - November 21, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
New York
(5/15/2025)
RR
Texas
(5/15/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/2/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 5/15/2025
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/4/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRB CAPITAL MARKETS, LLC
ESTRADA HINOJOSA | TRB CAPITAL MARKETS, LLC

CRD#: 322618 / SEC#: , 8-70999

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
6770 West Expressway 83, Harlingen, TX 78552
Mailing Address
6770 West Expressway 83, Harlingen, TX 78552
Phone number
(956) 682-2265
Established
Texas since 08/19/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEXAS REGIONAL BANKOWNER
COULTER, ROBERT VINCENTCHIEF COMPLIANCE OFFICER/MUNICIPAL SECURITIES PRINCIPAL4211707
HEBERT, MICHAEL JAMESCOMPLIANCE OFFICER/VP/SROP1229298
HINOJOSA, NOE JRPRESIDENT - MUNICIPAL BANKING1782212
JOHNSON, KRISTY KAYFINOP4470948
TIPPIT, JOHN LEE IVCEO/PRESIDENT OF CAPITAL MARKETS5809446

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

TRB CAPITAL MARKETS, LLC

CRD#: 322618Dallas, TX 75201

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