John J. Houghton
Professional summary
John Joseph Houghton, who also goes by John Houghton, is a registered financial professional currently at TCBI SECURITIES, INC. located in Dallas, Texas.
John is registered as a RR (Registered Representative) and started their career in finance in 2015. John has worked at 3 firms and has passed the Series 63, Series 22TO, Series 6TO, Series 82TO, Series 99TO, SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Joseph Houghton's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 17, 2024 - Present
TCBI SECURITIES, INC.
Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201May 4, 2020 - August 1, 2023
NATIXIS SECURITIES AMERICAS LLC
August 24, 2015 - May 30, 2018
TRUIST SECURITIES, 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
(1/17/2024)
Exams
Series 22TO
Date: 1/17/2024
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/17/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 82TO
Date: 1/17/2024
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/17/2024
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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Company Information
TCBI SECURITIES, INC.
CRD#: 313304Dallas, TX 75201TRUST BUT VERIFY
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