Sameer Satyendra Gupta
Professional Summary
Sameer Satyendra Gupta is a registered financial advisor currently at TCBI SECURITIES, INC. located in Dallas, Texas. Sameer is registered as a RR (Registered Representative) and started their career in finance in 2006. Sameer has worked at 3 firms and has passed the Series 63, Series 22TO, Series 6TO, Series 52TO, Series 82TO, Series 99TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
20 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
TCBI SECURITIES | TEXAS CAPITAL SECURITIES | TCBI SECURITIES, INC.
Contact Information
Main Address
2000 Mckinney Avenue Suite 700, Dallas, TX 75201Mailing Address
2000 Mckinney Avenue Suite 700, Dallas, TX 75201Phone Number
(214) 932-6671Established
Texas since 03/03/2021Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| CUMMINGS, JOHN WILLIAM | DIRECTOR | 2729018 |
| GENYK, STEVEN | MUNICIPAL SECURITIES PRINCIPAL | 2324120 |
| GETTY, JOSEPH MATTHEW | AMLCO | 6343874 |
| HOLMES, ROBERT C | DIRECTOR | 2948416 |
| HOVERMAN, DANIEL STEPHENS | DIRECTOR, PRESIDENT | 5281289 |
| RIVERA, JASON | CHIEF COMPLIANCE OFFICER | 5010925 |
| SCURLOCK, JOHN MATTHEW | DIRECTOR | 7521986 |
| YOUNGBERG, DAVID ALLEN | DIRECTOR | 3108225 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(7/25/2024)
(7/25/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed Jul 2024About the Series 22TO examSeries 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2024About the Series 6TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jul 2024About the Series 52TO examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Jul 2024About the Series 82TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Sameer Satyendra Gupta's CRS (Customer Relationship Summary).
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