AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
David Lee Stevens

David L. Stevens

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
SAN ANTONIO, TX 78212
Some features on this profile are disabled
CRD#: 5165226
David Lee Stevens

Professional summary

David Lee Stevens, CFP®, who also goes by Dave Stevens, is a registered financial advisor currently at TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS located in San Antonio, Texas and TCBI SECURITIES, INC. located in San Antonio, Texas.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. David has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dave Stevens

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.
Texas Capital Bank Private Wealth Advisors; San Antonio, Texas Start Date: 1/1/2019 Title: Investment Advisor 160+ hours per month; 160+ hours per month during trading hours; Yes, investment related. Job Duties: Manage investments for San Antonio clients of Texas Capital Bank Private Wealth Advisors RIA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lee Stevens'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®
CFP®

Certified Financial Planner

Start date: 2015

Experience

Current

January 4, 2019 - Present

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

Office #1: 745 East Mulberry Suite 400, San Antonio, TX 78212
RIA
CRD#: 298422
SAN ANTONIO, TX
Current

August 11, 2023 - Present

TCBI SECURITIES, INC.

Office #1: 745 East Mul​berry., Ste. 350 & 600, San Antonio, TX 78212
BD
CRD#: 313304
San Antonio, TX
Past

January 2, 2019 - June 2, 2023

KINGSWOOD CAPITAL PARTNERS, LLC

BD
CRD#: 288898
Dallas, TX
Past

August 17, 2016 - December 31, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
SAN ANTONIO, TX
Past

August 3, 2016 - December 31, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SAN ANTONIO, TX
Past

April 9, 2013 - August 18, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SAN ANTONIO, TX
Past

March 3, 2008 - August 10, 2012

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
CHICAGO, IL
Past

December 13, 2007 - August 10, 2012

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TC
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS | TEXAS CAPITAL BANK WEALTH MANAGEMENT SERVICES, INC.

CRD#: 298422 / SEC#: 801-114364

RIA
Registered Investment Advisory firm - (11/29/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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

IAR
Texas
(1/4/2019)
RR
Texas
(8/11/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/29/2008
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: 12/11/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS | TEXAS CAPITAL BANK WEALTH MANAGEMENT SERVICES, INC.

CRD#: 298422 / SEC#: 801-114364

RIA
Registered Investment Advisory firm - (11/29/2018 Approved)
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 1800, Dallas, TX 75201
Mailing Address
Phone number
(214) 210-3092
Established
Firm type
Fiscal year end
# of Employees
101

SEC notice filing (5 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (10/17/2025)
TEXAS CAPITAL PRIVATE WEALTH ADVISORS WRAP BROCHURE (5/26/2025)

Regulatory assets under management

Total Number of Accounts1,982
AUM (Assets Under Management)$ 3,471,701,060

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

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

CRD#: 298422San Antonio, TX 78212

TRUST BUT VERIFY

Monitor David Stevens

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

CH
Christopher HallAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
San Antonio, TX
RA
Robert ArmendarizAdvisorCheck Check Mark
EAGLE STRATEGIES LLC
IAR
RR
SAN ANTONIO, TX
JO
Joe-ben O'banionAdvisorCheck Check Mark
TITLEIST ASSET MANAGEMENT, LLC
IAR
RR
SAN ANTONIO, TX
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.