RM
Randall L. Moshier
TCBI SECURITIES
Houston, TX 77056
Some features on this profile are disabled
CRD#: 5691942
RM
Professional summary
Randall Lee Moshier Jr, who also goes by Randall Lee Moshier Jr, Randall Moshier, Randy Moshier, Randall Lee Moshier, is a registered financial professional currently at TCBI SECURITIES, INC. located in Houston, Texas.
Randall is registered as a RR (Registered Representative) and started their career in finance in 2009. Randall has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 50 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Randall Lee Moshier Jr | Randall Moshier | Randy Moshier | Randall Lee Moshier
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.
I am the minority owner of of Tier 1 Auto Group LLC, located at 3840 Fredericksburg Rd STE 3, San Antonio TX 78201. I began engaging in the activity described above on 3/2018 and is not investment related. I intend to spend approximately 5 hours per Month devoted to this activity and of those hours, none will occur during trading hours.
Also:
Officer for Frost Bank's Capital Markets, 111 W Houston St., San Antonio, TX 78205. Investment-related. Started May 2012, 43 hrs/month.
Provide advice to or on behalf of a municipal entity or obligated person with respect to municipal financial products or the issuance of municipal securities, including advice with respect to the structure, timing, terms, and other similar matters concerning such financial products or issues. Solicits a municipal entity, for compensation, on behalf of an unaffiliated municipal securities dealer, municipal adviser, or investment adviser to engage such party in connection with municipal financial products, the issuance of municipal securities or investment advisory services.
CRS (Client Relationship Summary) - BD
Click below to view Randall Lee Moshier Jr'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®
NoneExperience
Current
September 30, 2024 - Present
TCBI SECURITIES, INC.
Office #1: 1330 Post Oak Boulevard, Houston, TX 77056BD
CRD#: 313304
Houston, TX
Past
May 24, 2022 - August 23, 2024
FROST INVESTMENT SERVICES
RIA
CRD#: 286129
HOUSTON, TX
Past
May 30, 2012 - August 23, 2024
FROST BROKERAGE SERVICES, INC.
BD
CRD#: 17465
SAN ANTONIO, TX
Past
November 9, 2009 - May 1, 2012
FIRST SOUTHWEST COMPANY, LLC
BD
CRD#: 316
SAN ANTONIO, 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
Alabama(11/22/2024)
RR
Arizona(11/22/2024)
RR
Arkansas(11/22/2024)
RR
California(11/22/2024)
RR
Colorado(11/22/2024)
RR
Connecticut(11/22/2024)
RR
Florida(11/22/2024)
RR
Georgia(11/22/2024)
RR
Hawaii(11/22/2024)
RR
Indiana(11/22/2024)
RR
Iowa(11/22/2024)
RR
Kansas(11/22/2024)
RR
Kentucky(11/22/2024)
RR
Louisiana(11/22/2024)
RR
Maine(11/22/2024)
RR
Maryland(11/22/2024)
RR
Massachusetts(11/22/2024)
RR
Michigan(11/22/2024)
RR
Minnesota(11/22/2024)
RR
Mississippi(11/22/2024)
RR
Missouri(11/22/2024)
RR
New Hampshire(11/22/2024)
RR
New Jersey(11/22/2024)
RR
New Mexico(11/22/2024)
RR
New York(9/30/2024)
RR
North Carolina(11/22/2024)
RR
Ohio(11/25/2024)
RR
Oklahoma(11/22/2024)
RR
Oregon(11/22/2024)
RR
Pennsylvania(11/22/2024)
RR
South Carolina(11/22/2024)
RR
Tennessee(11/22/2024)
RR
Texas(9/30/2024)
RR
Utah(11/22/2024)
RR
Vermont(11/22/2024)
RR
Virginia(11/22/2024)
RR
Washington(11/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)
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 |
| GENYK, STEVEN | MUNICIPAL SECURITIES PRINCIPAL | 2324120 |
| HOLMES, ROBERT C | DIRECTOR | 2948416 |
| HOVERMAN, DANIEL STEPHENS | DIRECTOR, PRESIDENT | 5281289 |
| OMAN, DAVID | DIRECTOR | 5685397 |
| RIVERA, JASON | CHIEF COMPLIANCE OFFICER | 5010925 |
| SCURLOCK, JOHN MATTHEW | DIRECTOR | 7521986 |
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.
