John L. Tippit

TRB WEALTH MANAGEMENT

MCALLEN, TX 78503

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CRD#: 5809446

Professional summary

John Lee Tippit IV, who also goes by John L Tippit IV, John L Tippit, is a registered financial advisor currently at TRB WEALTH MANAGEMENT, LLC located in Mcallen, Texas and TRB CAPITAL MARKETS, LLC located in Harlingen, Texas.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. John has worked at 4 firms and has passed the Series 66, Series 99TO, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John L Tippit Iv | John L Tippit

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.

2016-Present: Texas Regional Bank/Investment Related/McAllen, TX/Regional Bank/Assistant Vice President/Involves up to 160 or more hours each month, including during traditional business hours.//

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Lee Tippit IV'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

July 23, 2020 - Present

TRB WEALTH MANAGEMENT, LLC

Office #1: 1801 Mccoll Road, Mcallen, TX 78503

RIA

CRD#: 309370

MCALLEN, TX

Current

November 13, 2023 - Present

TRB CAPITAL MARKETS, LLC

Office #1: 6770 West Expressway 83, Harlingen, TX 78552Office #2: 6770 West Expressway 83, Harlingen, TX 78552

CRD#: 322618

Harlingen, TX

Past

October 13, 2016 - March 31, 2021

OBS FINANCIAL

RIA

CRD#: 138615

McAllen, TX

Past

October 10, 2011 - August 4, 2015

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

HOUSTON, TX

Past

September 8, 2011 - August 4, 2015

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

HOUSTON, 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".

TRB WEALTH MANAGEMENT, LLC

TRB TRUST AND WEALTH MANAGEMENT | TRB WEALTH MANAGEMENT, LLC

CRD#: 309370 / SEC#: 801-119035

RIA

Registered Investment Advisory firm - (7/23/2020 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.

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

Colorado
(6/26/2024)

Florida
(4/11/2024)

IAR

Texas
(7/23/2020)

Texas
(11/16/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/7/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 11/13/2023

Operations Professional Examination

General Industry/Product Exam

Series 7

Date: 9/6/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/23/2024

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/29/2023

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TRB WEALTH MANAGEMENT, LLC

TRB TRUST AND WEALTH MANAGEMENT | TRB WEALTH MANAGEMENT, LLC

CRD#: 309370 / SEC#: 801-119035

RIA

Registered Investment Advisory firm - (7/23/2020 Approved)

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Contact information

Main Address

9821 Katy Freeway, Suite 110, Houston, TX 77024

Mailing Address

Phone number

(832) 810-3565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRB WEALTH MANAGEMENT LLC - FORM ADV PART 2A (4/1/2025)

TRB WEALTH MANAGEMENT - FORM ADV PART 2A WRAP BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	1,355
AUM (Assets Under Management)	$ 1,169,148,483

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.

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John L. Tippit

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Lee Tippit IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRB CAPITAL MARKETS, LLC

OBS FINANCIAL

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

TRB WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/7/2011

Series 99TO

Date: 11/13/2023

Series 7

Date: 9/6/2011

Series 24

Date: 5/23/2024

Series 53

Date: 6/29/2023

FINRA

Current Firm

TRB WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRB WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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