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MN

Marcia Nelson

TCBI SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 4959118
MN

Professional summary

Marcia Nelson, who also goes by Marcia S Nelson, is a registered financial professional currently at TCBI SECURITIES, INC. located in New York, New York.

Marcia is registered as a RR (Registered Representative) and started their career in finance in 2005. Marcia has worked at 7 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marcia S Nelson

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 Marcia Nelson'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®
None

Experience

Current

December 23, 2025 - Present

TCBI SECURITIES, INC.

Office #1: 575 Fifth Avenue, New York, NY 10017
BD
CRD#: 313304
New York, NY
Past

May 17, 2023 - December 11, 2025

PRIME EXECUTIONS, INC.

BD
CRD#: 32889
NEW YORK, NY
Past

September 28, 2020 - January 3, 2023

SHARENETT SECURITIES LLC

BD
CRD#: 151011
NEW YORK, NY
Past

February 21, 2020 - July 14, 2020

WORDEN CAPITAL MANAGEMENT LLC

BD
CRD#: 148366
New York, NY
Past

July 6, 2018 - March 6, 2020

AXIOM CAPITAL MANAGEMENT, INC.

BD
CRD#: 26580
New York, NY
Past

December 8, 2015 - July 11, 2018

DRIVEWEALTH INSTITUTIONAL LLC

BD
CRD#: 33038
NEW YORK, NY
Past

August 19, 2005 - March 29, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
(12/23/2025)
RR
Texas
(12/23/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/28/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/30/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/8/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TEXAS CAPITAL BANCSHARES, INC.OWNER
ALVARADO, ANNA MARIADIRECTOR4433966
COLPITTS, JOEL BRIANPRINCIPAL FINANCIAL OFFICER AND FIN/OP2376942
GENYK, STEVENMUNICIPAL SECURITIES PRINCIPAL2324120
GETTY, JOSEPH MATTHEWAMLCO6343874
HOLMES, ROBERT CDIRECTOR2948416
HOVERMAN, DANIEL STEPHENSDIRECTOR, PRESIDENT5281289
OMAN, DAVIDDIRECTOR5685397
RIVERA, JASONCHIEF COMPLIANCE OFFICER5010925
SCURLOCK, JOHN MATTHEWDIRECTOR7521986

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#: 313304New York, NY 10017

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