Jessica A. Rozier
Professional summary
Jessica A Rozier, who also goes by Ashley Rozier, is a registered financial professional currently at TCBI SECURITIES, INC. located in Austin, Texas.
Jessica is registered as a RR (Registered Representative) and started their career in finance in 2016. Jessica has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jessica A Rozier's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 16, 2023 - Present
TCBI SECURITIES, INC.
Office #1: 98 San Jacinto Blvd., Ste. 200, Austin, TX 78701October 7, 2016 - January 24, 2023
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/16/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
TCBI SECURITIES, INC.
CRD#: 313304 / SEC#: , 8-70682
Contact information
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
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