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RR

Randolph S. Ray

TCBI SECURITIES
Houston, TX 77056
Some features on this profile are disabled
CRD#: 5223356
RR

Professional summary

Randolph Stephenson Ray, who also goes by Steve Ray, is a registered financial professional currently at TCBI SECURITIES, INC. located in Houston, Texas.

Randolph is registered as a RR (Registered Representative) and started their career in finance in 2006. Randolph has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Ray

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 Randolph Stephenson Ray'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

November 7, 2023 - Present

TCBI SECURITIES, INC.

Office #1: 1330 Post Oak Boulevard, Houston, TX 77056
BD
CRD#: 313304
Houston, TX
Past

April 24, 2015 - April 1, 2016

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
HOUSTON, TX
Past

December 12, 2008 - April 15, 2015

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
HOUSTON, TX
Past

November 9, 2006 - December 12, 2008

RBS SECURITIES CORPORATION

BD
CRD#: 118936
HOUSTON, TX

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
Texas
(3/29/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/29/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/7/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/25/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/8/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

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
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#: 313304Houston, TX 77056

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