DR
Debra M. Reda-cappos
MOMENTUM INDEPENDENT NETWORK
Oak Park, CA
Some features on this profile are disabled
CRD#: 1287041
DR
Professional summary
Debra Marcy Reda-cappos, who also goes by Debra M. Cappos, Debra M. Mcleod, Debra Marcy Mcleod, Debra Reinschreiber Mcleod, Debra M. Reda, Debra Marcy Reda, Debra M. Reda-cappos, Debra M. Reinschreiber, Debra Marcy Reinschreiber, is a registered financial advisor currently at MOMENTUM INDEPENDENT NETWORK INC. located in Oak Park, California.
Debra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Debra has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Debra M. Cappos | Debra M. Mcleod | Debra Marcy Mcleod | Debra Reinschreiber Mcleod | Debra M. Reda | Debra Marcy Reda | Debra M. Reda-Cappos | Debra M. Reinschreiber | Debra Marcy Reinschreiber
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] Morrison Estates HOA; Non-investment related; Oak Park, CA; Homeowners Association; Board member of Agricultural Committee; Started March 2019; 2 hrs/mo; zero hrs/mo during business hrs. 2] CDFA Consultant; Non-Investment related; CDFA for newly filed post-divorce settlement case; CDFA; Started January 2025; 8 hrs/day for a few days annually devoted during business hrs;
CRS (Client Relationship Summary) - RIA
Click below to view Debra Marcy Reda-cappos's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Debra Marcy Reda-cappos's 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®
NoneExperience
Current
September 2, 2022 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #2: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 17587
Oak Park, CA
Current
September 2, 2022 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #2: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 17587
Oak Park, CA
Past
October 20, 2008 - September 2, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
Pasadena, CA
Past
October 20, 2008 - September 2, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
Pasadena, CA
Past
December 8, 2006 - October 28, 2008
CROWELL, WEEDON & CO.
BD
CRD#: 193
WESTLAKE VILLAGE, CA
Past
December 7, 2006 - October 28, 2008
CROWELL, WEEDON & CO.
RIA
CRD#: 193
WESTLAKE VILLAGE, CA
Past
July 28, 2005 - December 7, 2006
SMART INVESTMENTS ADVISORY INCORPORATED
RIA
CRD#: 107778
WESTLAKE VILLAGE, CA
Past
March 16, 2005 - December 7, 2006
THE SEIDLER COMPANIES INCORPORATED
BD
CRD#: 3911
WESTLAKE VILLAGE, CA
Past
March 2, 2001 - February 28, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WESTLAKE VILLAGE, CA
Past
March 2, 2001 - February 28, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
June 3, 1994 - March 14, 2001
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
December 17, 1990 - June 2, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 4, 1990 - December 20, 1990
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 24, 1985 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
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".
MI
MOMENTUM INDEPENDENT NETWORK INC.
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
CRD#: 17587 / SEC#: 801-60812, 8-35475
RIA
Registered Investment Advisory firm - SEC (1/18/2002 Approved)Alabama
Registered Investment Advisory firm - SEC (11/1/2004 Terminated)California
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (12/31/2002 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/18/2002 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (4/23/2002 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New York
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/5/2001 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)South Dakota
Registered Investment Advisory firm - SEC (4/19/2002 Terminated)Utah
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)West Virginia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(9/2/2022)
RR
California(9/2/2022)
IAR
California(9/2/2022)
RR
Florida(9/2/2022)
RR
Hawaii(9/2/2022)
IAR
Hawaii(9/2/2022)
RR
Illinois(9/8/2022)
IAR
Illinois(9/8/2022)
RR
Indiana(9/2/2022)
RR
Massachusetts(9/2/2022)
RR
Michigan(9/2/2022)
RR
Nevada(9/14/2022)
IAR
Nevada(9/14/2022)
RR
New York(9/2/2022)
IAR
North Carolina(9/2/2022)
RR
North Carolina(9/6/2022)
RR
South Carolina(9/2/2022)
IAR
South Carolina(9/2/2022)
RR
Texas(9/2/2022)
RR
Washington(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MI
MOMENTUM INDEPENDENT NETWORK INC.
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
CRD#: 17587 / SEC#: 801-60812, 8-35475
RIA
Registered Investment Advisory firm - SEC (1/18/2002 Approved)Alabama
Registered Investment Advisory firm - SEC (11/1/2004 Terminated)California
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (12/31/2002 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/18/2002 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (4/23/2002 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New York
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/5/2001 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)South Dakota
Registered Investment Advisory firm - SEC (4/19/2002 Terminated)Utah
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)West Virginia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201
Mailing Address
717 Harwood Street Suite 3400, Dallas, TX 75201
Phone number
(214) 859-1800
Established
Texas since 01/07/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
98
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILLTOP SECURITIES HOLDINGS, LLC | PARENT | |
| ALEXANDER, LAURA BONNELL | BOARD DIRECTOR | 2900382 |
| COYA, SCOTT ANDREW | CHIEF COMPLIANCE OFFICER | 2511281 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| LEVENTHAL, LAURA | TREASURER | 1175259 |
| MCCAFFREY, SCOTT EDWARD | MANAGING DIRECTOR - HEAD OF MOMENTUM INDEPENDENT NETWORK INC. | 3076398 |
| MEDANICH, DAVID KING | BOARD DIRECTOR | 1030727 |
| MUSCHALEK, JOHN RICHARD | PRESIDENT | 2226859 |
| MUSCHALEK, JOHN RICHARD | BOARD DIRECTOR | 2226859 |
| TEMPLE, WILLIAM BARRY | MUNICIPAL PRINCIPAL | 2357830 |
| WINGES, MARTIN BRADLEY | CHAIRMAN OF THE BOARD | 1929509 |
| WINGES, MARTIN BRADLEY | CEO | 1929509 |
| WITTNEBEN, BRIAN LANE | GENERAL COUNSEL/SECRETARY | 4861905 |
Regulatory assets under management
| Total Number of Accounts | 2,850 |
| AUM (Assets Under Management) | $ 1,337,377,801 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 07/26/2024 | ||
| 07/20/2023 |
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.
