Christian A. Duaine

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

Dallas, TX 75201

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CRD#: 6874375

Professional summary

Christian Alexander Duaine, who also goes by Christian Duaine, 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.

Christian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Christian has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christian Duaine

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 - Not Investment Related - 2000 McKinney St. Dallas, Texas 75201 - Corporate Bank - Associate, Assistant Vice President, Financial Institutions Group - Associate in the Corporate Bank for the Financial Institutions Group - 07/2022 - 160+ hours per month - 6 hours per day - Duties are to be dually registered as part of the Corporate, Investment Bank of Texas Capital. I will do my duties as a corporate banker that is able to use my series 7 license in its capacity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christian Alexander Duaine'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

November 2, 2023 - Present

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

Office #1: 2000 Mckinney Avenue Suite 1800, Dallas, TX 75201

RIA

CRD#: 298422

Dallas, TX

Current

November 10, 2022 - Present

TCBI SECURITIES, INC.

Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201

CRD#: 313304

Dallas, TX

Past

March 16, 2022 - June 29, 2022

UMB FINANCIAL SERVICES, INC.

RIA

CRD#: 17073

Kansas City, MO

Past

September 3, 2021 - June 29, 2022

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

KANSAS CITY, MO

Past

October 7, 2019 - February 7, 2020

GRAND FINANCIAL, INC.

CRD#: 19571

ADDISON, TX

Past

April 17, 2018 - December 19, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LEAWOOD, KS

Past

January 10, 2018 - December 19, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LEAWOOD, KS

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".

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.

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

Texas
(11/1/2023)

IAR

Texas
(11/2/2023)

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: 4/16/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/10/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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 Accounts	1,982
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.

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Advisor Monitoring

Firm Stability Insights

Christian A. Duaine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christian Alexander Duaine's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCBI SECURITIES, INC.

UMB FINANCIAL SERVICES, INC.

UMB FINANCIAL SERVICES, INC.

GRAND FINANCIAL, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 4/16/2018

SIE

Date: 10/1/2018

Series 7

Date: 1/10/2018

FINRA

Current Firm

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS

TRUST BUT VERIFY

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