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Hussain Ali Fawaz
HUSSIAN ALI FAWAZ, Ali Fawaz
CRD#: 4061500
IA
Investment Adviser
B
Broker
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORSCRD#: 298422 2000 MCKINNEY AVENUE
SUITE 1800
DALLAS, TX 75201
TCBI SECURITIESCRD#: 313304 2000 MCKINNEY AVENUE
SUITE 700
DALLAS, TX 75201
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2004 (<1 year)2 FIRMS2007 - 2012 (4 years)2 FIRMS2024 - Present (<1 year)BMID ATLANTIC CLEARING & SETTLE... (CRD# 37466)2023 - 2024 (1 year)BSENTRY EQUITY SERVICES, INC. (CRD# 5069)2017 - 2022 (5 years)BGWFS EQUITIES, INC. (CRD# 13109)2016 - 2017 (<1 year)B1ST GLOBAL CAPITAL CORP. (CRD# 30349)2015 - 2016 (<1 year)BGWFS EQUITIES, INC. (CRD# 13109)2012 - 2015 (2 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2012 - 2012 (<1 year)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 3600)2007 - 2007 (<1 year)BH.D. VEST INVESTMENT SERVICES (CRD# 13686)2005 - 2005 (<1 year)BCONSORTIUM INVESTMENTS, LTD. (CRD# 45832)2000 - 2001 (1 year)
License(s)

State Registrations

B
Texas 5/28/2024

IA
Texas 7/15/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS (CRD#:298422)
2000 MCKINNEY AVENUE SUITE 1800, DALLAS, TX 75201
Registered with this firm since 7/15/2024

B
TCBI SECURITIES (CRD#:313304)
2000 MCKINNEY AVENUE SUITE 700, DALLAS, TX 75201
Registered with this firm since 5/28/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
B
05/22/2023 - 05/24/2024 MID ATLANTIC CLEARING & SETTLEMENT CORPORATION (CRD#:37466) PITTSBURGH, PA
B
08/14/2017 - 08/25/2022 SENTRY EQUITY SERVICES, INC. (CRD#:5069) STEVENS POINT, WI
B
05/25/2016 - 04/03/2017 GWFS EQUITIES, INC. (CRD#:13109) DALLAS, TX
B
08/06/2015 - 05/16/2016 1ST GLOBAL CAPITAL CORP. (CRD#:30349) DALLAS, TX
B
12/06/2012 - 01/03/2015 GWFS EQUITIES, INC. (CRD#:13109) DALLAS, TX
B
04/09/2012 - 11/19/2012 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) DALLAS, TX
IA
11/13/2007 - 03/08/2012 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) MCKINNEY, TX
B
10/04/2007 - 03/08/2012 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) MCKINNEY, TX
B
03/07/2007 - 08/27/2007 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:3600) LOS ANGELES, CA
B
08/16/2005 - 12/10/2005 H.D. VEST INVESTMENT SERVICES (CRD#:13686) DALLAS, TX
IA
09/16/2003 - 06/17/2004 VERITRUST FINANCIAL, LLC (CRD#:106594) FORT WORTH, TX
B
11/17/2003 - 06/17/2004 VERITRUST FINANCIAL, LLC (CRD#:106594) AUSTIN, TX
B
02/03/2000 - 10/22/2001 CONSORTIUM INVESTMENTS, LTD. (CRD#:45832) WACO, TX
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.