Gene E. Krinn

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CRD#: 1228284

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gene Ervin Krinn was a registered financial professional .

Gene is a previously registered financial professional and started their career in finance in 1984. Gene had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

(1) SEASPIRE ADVISERS LLC, MANAGING PARTNER; 310 S. Michigan Ave., Ste. 1303, Chicago, IL 60604. PROJECT DEVELOPMENT ADVISOR FOR RENEWABLE ENERGY, SUSTAINABLE ENERGY/AFFORDABL HOUSING; TIME IS VARIABLE, DEPENDING ON THE PROJECT WHICH OVER A YEAR MAY BE 20-30% OF TIME OR LESS. (2) 02/2009 FAIRWAY ADVIORS, LLC; OWNER/SOLE PROP; NOBLESVILLE, INDIANA; 12 HOURS/PER MONTH, 00/HOURS DURING TRADING HOURS; CONSULTING FIRM FOR SINGLE FAMILY OFFICE EXECUTIVE OPERATIONS/FAMILY GENERATIONAL ISSUES, INVESTMENT MANAGER/ASSISTANCE WITH DUE DILIGENCE UPON REQUEST.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 21, 2015 - January 15, 2025

CAPITAL CITIES, LLC

RIA

CRD#: 122916

INDIANAPOLIS, IN

Past

September 9, 2011 - March 22, 2017

LIMESTONE CAPITAL ADVISERS, LLC

RIA

CRD#: 158447

LAKE GENEVA, WI

Past

October 24, 1996 - April 14, 1997

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

LAKE ST. LOUIS, MO

Past

March 31, 1989 - October 11, 1996

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

April 7, 1986 - March 31, 1989

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

NORTH PALM BEACH, FL

Past

February 24, 1984 - April 7, 1986

G. R. PHELPS & CO., INC.

CRD#: 173

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".

CAPITAL CITIES, LLC

CAPITAL CITIES, L.L.C. | CAPITAL CITIES, LLC

CRD#: 122916 / SEC#: 801-69270

RIA

Registered Investment Advisory firm - (6/17/2008 Approved)

Indiana

Registered Investment Advisory firm - (7/3/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 3/3/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/8/1989

General Securities Principal Examination

Current Firm

CAPITAL CITIES, LLC

CAPITAL CITIES, L.L.C. | CAPITAL CITIES, LLC

CRD#: 122916 / SEC#: 801-69270

RIA

Registered Investment Advisory firm - (6/17/2008 Approved)

Indiana

Registered Investment Advisory firm - (7/3/2008 Terminated)

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Contact information

Main Address

426 East New York Street, Indianapolis, IN 46202-3602

Mailing Address

Phone number

(317) 475-4500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL CITIES, L.L.C. ADV BROCHURE (3/6/2025)

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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Gene E. Krinn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL CITIES, LLC

LIMESTONE CAPITAL ADVISERS, LLC

FIRST HEARTLAND CAPITAL, INC.

MUTUAL SERVICE CORPORATION

LOWRY FINANCIAL SERVICES CORPORATION

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

CAPITAL CITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/3/1984

Series 7

Date: 2/18/1984

Series 24

Date: 11/8/1989

Current Firm

CAPITAL CITIES, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

CAPITAL CITIES, LLC

TRUST BUT VERIFY

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