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TR

Trace H. Riley

TRB CAPITAL MARKETS
DALLAS, TX 75201
Some features on this profile are disabled
CRD#: 7682840
TR

Professional summary

Trace Hunter Riley is a registered financial professional currently at TRB CAPITAL MARKETS, LLC located in Dallas, Texas.

Trace is registered as a RR (Registered Representative) and started their career in finance in 2023. Trace has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Trace Hunter Riley'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

January 29, 2025 - Present

TRB CAPITAL MARKETS, LLC

Office #1: Plaza Of The Americas, South Tower 600 North Pearl Street, Suite 2100, Dallas, TX 75201
BD
CRD#: 322618
DALLAS, TX
Past

August 11, 2024 - November 22, 2024

OAKWOOD CAPITAL SECURITIES, INC.

BD
CRD#: 21000
Austin, TX
Past

June 3, 2024 - November 22, 2024

49 FINANCIAL

RIA
CRD#: 319484
AUSTIN, TX
Past

January 21, 2023 - January 17, 2024

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Austin, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(1/29/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/3/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/28/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 10/17/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/12/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/21/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRB CAPITAL MARKETS, LLC
ESTRADA HINOJOSA | TRB CAPITAL MARKETS, LLC

CRD#: 322618 / SEC#: , 8-70999

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
6770 West Expressway 83, Harlingen, TX 78552
Mailing Address
6770 West Expressway 83, Harlingen, TX 78552
Phone number
(956) 682-2265
Established
Texas since 08/19/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEXAS REGIONAL BANKOWNER
COULTER, ROBERT VINCENTCHIEF COMPLIANCE OFFICER/MUNICIPAL SECURITIES PRINCIPAL4211707
HEBERT, MICHAEL JAMESCOMPLIANCE OFFICER/VP/SROP1229298
HINOJOSA, NOE JRPRESIDENT - MUNICIPAL BANKING1782212
JOHNSON, KRISTY KAYFINOP4470948
TIPPIT, JOHN LEE IVCEO/PRESIDENT OF CAPITAL MARKETS5809446

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.

Company Information

TRB CAPITAL MARKETS, LLC

CRD#: 322618Dallas, TX 75201

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