NA
Nicholas J. Armato
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
Dallas, TX 75201
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CRD#: 7196511
NA
Professional summary
Nicholas Joseph Armato, who also goes by Nicholas J Armato, Nicholas Armato, 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.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Nicholas has worked at 5 firms and has passed the Series 66, Series 99TO, Series 82TO, Series 22TO, Series 6TO, Series 87, Series 86, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas J Armato | Nicholas Armato
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 name of the other business: Texas Capital Bank Whether the business is investment-related: Yes The address of the other business: 2000 McKinney Avenue, Suite 700 Dallas, TX 75201 The nature of the other business: Financial Services Firm Your position: Associate, Investment Bank Associate II, Corporate Title, or relationship with the other business: Associate, Investment Bank Associate II, Corporate The start date of your relationship: 5/31/2024 The approximate number of hours/month you devote to the other business: 216.5 The number of hours you devote to the other business during securities trading hours: 140 and briefly describe your duties relating to the other business: Associate, Investment Bank Associate II, Corporate
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Joseph Armato'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
June 12, 2024 - Present
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
Office #1: 2000 Mckinney Avenue Suite 1800, Dallas, TX 75201RIA
CRD#: 298422
Dallas, TX
Current
May 31, 2024 - Present
TCBI SECURITIES, INC.
Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201BD
CRD#: 313304
Dallas, TX
Past
April 6, 2023 - May 31, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
McKinney, TX
Past
April 6, 2023 - May 31, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
McKinney, TX
Past
October 25, 2021 - March 21, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
WESTLAKE, TX
Past
September 10, 2021 - March 14, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WESTLAKE, TX
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".
TC
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.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
Texas(5/31/2024)
IAR
Texas(6/12/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 5/31/2024
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 5/31/2024
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 22TO
Date: 5/31/2024
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/31/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/10/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TC
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
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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)
Regulatory assets under management
| Total Number of Accounts | 1,982 |
| AUM (Assets Under Management) | $ 3,471,701,060 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422Dallas, TX 75201TRUST BUT VERIFY
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