Full text of TCBI SECURITIES, INC.'s X-17A-5 filed 2024-02-29 (period 2023-12-31). 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 AND ENDING\_12/31/2023 filing for the period beginning 01/01/2023 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: TCBI SECURITIES, INC. TYPE OF REGISTRANT (check all applicable boxes): @ 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 7.52201 TEXAS (Zip Code) (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING JOEL COLPITS 214-210-3077 JOEL COLPITTS@TEXASCAPITAL.COM (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* FRNST & YOUNG LLP (Name - if individual, state last, first, and middle name) 75219 TX 2323 VICTORY AVENUE, SUITE 2000 DALLAS (Address) (State) (Zip Code) (City) OCTOBER 20, 2003 42 (PCAOB Registration Number, if applicable) (Date of Registration with PCAOB)(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 AFF'OMATION I. JOEL COLPITTS \_\_ swear (or affirm) that, to the best of my knowiedge and belief, the financial report pertaining to the firm of TCBI SECURITIES, INC. . as of 12/31 -, 2 023 , is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer.  | Signature: | | |--------------------------------------------------------|--| | Title: | | | Executive Directo…Read the full text as markdown