Full text of TCBI SECURITIES, INC.'s X-17A-5 filed 2023-03-16 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 > ANNUAL REPORTS FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-70682 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 12/21/2021 MM/DD/YY AND ENDING 12/31/2022 MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: TCBI SECURITIES, INC. TYPE OF REGISTRANT (check all applicable boxes): ത Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 2000 MCKINNEY AVENUE, SUITE 700 | | (No. and Street) | | | | |--------------------------------------------------|------------------------------------------------------------|--------------------------------------------|--------------------------------|--| | DALLAS | TEXAS | | 75201 | | | (City) | (State) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | JOEL COLPITTS | 214-210-3077 | | JOEL COLPITTS@TEXASCAPITAL COM | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | ERNST & YOUNG LLP | (Name - if individual, state last, first, and middle name) | | | | | 2323 VICTORY AVENUE, SUITE 2000 DALLAS | | IFX | 75219 | | | (Address) | (City) | (State) | (Zip Code) | | | OCTOBER 20, 2003 | | 42 | | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | | | JOEL COLPITTS | | |--|--|---------------|--| |--|--|---------------|--| swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of TCBI SECURITIES, INC. . as of 12/31 , 2 022\_\_\_ is true and correct. I further swear (or affirm) that neither the compan…Read the full text as markdown