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MM

Mauro Marquez

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 5742462
MM

Professional summary

Mauro Marquez, who also goes by Mauro Landeros Marquez, is a registered financial advisor currently at TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS located in Dallas, Texas and TCBI SECURITIES, INC. located in Dallas, Texas.

Mauro is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Mauro has worked at 5 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Mauro Landeros Marquez

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; Investment-related; 2000 McKinney Ave., Ste. 1800, Dallas, TX; Investment Advisor; started September 2022; 160 hours per month and 130 hours during trading hours. Leadership Forward Mentoring Program | Board Member & Treasurer | started 07/01/2021 | 8 hours monthly | $0.00 USD

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mauro Marquez'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®
None

Experience

Current

October 3, 2022 - Present

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

Office #1: 2000 Mckinney Avenue Suite 1800, Dallas, TX 75201
RIA
CRD#: 298422
Dallas, TX
Current

March 9, 2023 - Present

TCBI SECURITIES, INC.

Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201
BD
CRD#: 313304
Dallas, TX
Past

October 16, 2013 - September 13, 2022

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
DALLAS, TX
Past

July 10, 2013 - September 13, 2022

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
DALLAS, TX
Past

October 24, 2011 - July 15, 2013

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
FORT WORTH, TX
Past

February 8, 2010 - October 22, 2010

EDWARD JONES

RIA
CRD#: 250
IRVING, TX
Past

January 27, 2010 - October 22, 2010

EDWARD JONES

BD
CRD#: 250
IRVING, TX

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
(10/3/2022)
RR
Texas
(3/9/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/12/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/5/2010
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: 1/25/2010
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)
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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#: 298422Dallas, TX 75201

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