Nathaniel D. Pendleton
Professional summary
Nathaniel David Pendleton, CFA is a registered financial professional currently at TCBI SECURITIES, INC. located in Dallas, Texas.
Nathaniel is registered as a RR (Registered Representative) and started their career in finance in 2018. Nathaniel has worked at 2 firms and has passed the Series 22TO, Series 6TO, Series 82TO, Series 99TO, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nathaniel David Pendleton's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 31, 2024 - Present
TCBI SECURITIES, INC.
Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201July 27, 2018 - May 29, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 22TO
Date: 5/31/2024
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 5/31/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 82TO
Date: 5/31/2024
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 5/31/2024
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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