JR
James E. Ramos
TCBI SECURITIES
Houston, TX 77056
Some features on this profile are disabled
CRD#: 6379443
JR
Professional summary
James Edward Ramos, who also goes by James Edward Ramos, James Ramos, is a registered financial professional currently at TCBI SECURITIES, INC. located in Houston, Texas.
James is registered as a RR (Registered Representative) and started their career in finance in 2015. James has worked at 6 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Edward Ramos | James Ramos
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.
CRS (Client Relationship Summary) - BD
Click below to view James Edward Ramos'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
August 22, 2024 - Present
TCBI SECURITIES, INC.
Office #1: 1330 Post Oak Boulevard, Houston, TX 77056BD
CRD#: 313304
Houston, TX
Past
January 18, 2024 - August 13, 2024
PIPER SANDLER & CO.
BD
CRD#: 665
HOUSTON, TX
Past
June 15, 2021 - May 12, 2023
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
HOUSTON, TX
Past
July 17, 2019 - May 25, 2021
HOULIHAN LOKEY CAPITAL, INC.
BD
CRD#: 17708
HOUSTON, TX
Past
January 6, 2017 - June 14, 2019
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
HOUSTON, TX
Past
January 3, 2015 - June 23, 2016
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
Alabama(8/22/2024)
RR
Alaska(8/22/2024)
RR
Arizona(8/22/2024)
RR
Arkansas(8/22/2024)
RR
California(8/22/2024)
RR
Colorado(8/22/2024)
RR
Connecticut(8/22/2024)
RR
Delaware(8/22/2024)
RR
District of Columbia(8/22/2024)
RR
Florida(8/22/2024)
RR
Georgia(8/22/2024)
RR
Hawaii(8/22/2024)
RR
Idaho(8/22/2024)
RR
Illinois(8/22/2024)
RR
Indiana(8/22/2024)
RR
Iowa(8/22/2024)
RR
Kansas(8/22/2024)
RR
Kentucky(8/22/2024)
RR
Louisiana(8/22/2024)
RR
Maine(8/22/2024)
RR
Maryland(8/22/2024)
RR
Massachusetts(8/22/2024)
RR
Michigan(8/22/2024)
RR
Minnesota(8/22/2024)
RR
Mississippi(8/22/2024)
RR
Missouri(8/22/2024)
RR
Montana(8/22/2024)
RR
Nebraska(8/22/2024)
RR
Nevada(8/22/2024)
RR
New Hampshire(8/22/2024)
RR
New Jersey(8/22/2024)
RR
New Mexico(8/22/2024)
RR
New York(8/22/2024)
RR
North Carolina(8/22/2024)
RR
North Dakota(8/22/2024)
RR
Ohio(8/22/2024)
RR
Oklahoma(8/22/2024)
RR
Oregon(8/22/2024)
RR
Pennsylvania(8/22/2024)
RR
Puerto Rico(8/22/2024)
RR
Rhode Island(8/22/2024)
RR
South Carolina(8/22/2024)
RR
South Dakota(8/22/2024)
RR
Tennessee(8/22/2024)
RR
Texas(8/22/2024)
RR
Utah(8/22/2024)
RR
Vermont(8/22/2024)
RR
Virgin Islands(8/22/2024)
RR
Virginia(8/22/2024)
RR
Washington(8/22/2024)
RR
West Virginia(8/22/2024)
RR
Wisconsin(8/22/2024)
RR
Wyoming(8/22/2024)
Exams
State Security Law 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.
