Carlos R. Esteve

HODGES CAPITAL MANAGEMENT

Dallas, TX 75201

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CRD#: 7559093

Professional summary

Carlos Rafael Esteve, who also goes by Carlos Esteve, is a registered financial advisor currently at HODGES CAPITAL MANAGEMENT INC located in Dallas, Texas and FIRST DALLAS SECURITIES INCORPORATED located in Dallas, Texas.

Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Carlos has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlos Esteve

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Rafael Esteve'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

October 13, 2023 - Present

HODGES CAPITAL MANAGEMENT INC

Office #1: 2905 Maple Ave, Dallas, TX 75201

RIA

CRD#: 110080

Dallas, TX

Current

October 13, 2023 - Present

FIRST DALLAS SECURITIES INCORPORATED

Office #1: 2905 Maple Ave., Dallas, TX 75201

RIA

CRD#: 24549

Dallas, TX

Current

October 13, 2023 - Present

FIRST DALLAS SECURITIES INCORPORATED

Office #1: 2905 Maple Avenue, Dallas, TX 75201

RIA

CRD#: 24549

Dallas, TX

Past

July 18, 2022 - October 4, 2023

VANGUARD MARKETING CORPORATION

CRD#: 7452

Plano, 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".

HODGES CAPITAL MANAGEMENT INC

CRD#: 110080 / SEC#: 801-35811

RIA

Registered Investment Advisory firm - (1/5/1990 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
(10/13/2023)

IAR

Texas
(10/13/2023)

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: 8/22/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/18/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/17/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

HODGES CAPITAL MANAGEMENT INC

CRD#: 110080 / SEC#: 801-35811

RIA

Registered Investment Advisory firm - (1/5/1990 Approved)

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Contact information

Main Address

2905 Maple Ave, Dallas, TX 75201

Mailing Address

Phone number

(888) 878-4426

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HODGES PRIVATE CLIENT WRAP BROCHURE-OCT 2025 (10/31/2025)

ADV BROCHURE-OCT 2025 (10/31/2025)

Regulatory assets under management

Total Number of Accounts	448
AUM (Assets Under Management)	$ 1,240,237,495

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

Carlos R. Esteve

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Rafael Esteve's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST DALLAS SECURITIES INCORPORATED

FIRST DALLAS SECURITIES INCORPORATED

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

HODGES CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2022

Series 7TO

Date: 7/18/2022

SIE

Date: 5/17/2022

FINRA

Current Firm

HODGES CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HODGES CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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