AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SL

Steven R. Lemon

CINCAP INVESTMENT GROUP
Cincinnati, OH 45226
Some features on this profile are disabled
CRD#: 1417676
SL

Professional summary

Steven Ray Lemon, who also goes by Steve Lemon, is a registered financial professional currently at CINCAP INVESTMENT GROUP, LLC located in Cincinnati, Ohio.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1985. Steven has worked at 12 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Lemon

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Ray Lemon's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 21, 2023 - Present

CINCAP INVESTMENT GROUP, LLC

Office #1: 455 Delta Ave. Suite 207, Cincinnati, OH 45226
BD
CRD#: 118392
Cincinnati, OH
Past

October 12, 2022 - February 1, 2023

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
PORTLAND, OR
Past

December 9, 2020 - July 18, 2022

CINCAP INVESTMENT GROUP, LLC

BD
CRD#: 118392
CINCINNATI, OH
Past

June 3, 2016 - June 15, 2020

ROSS, SINCLAIRE & ASSOCIATES, LLC

BD
CRD#: 25440
CINCINNATI, OH
Past

August 15, 2012 - May 25, 2016

GEORGE K. BAUM & COMPANY

BD
CRD#: 36354
PORTLAND, OR
Past

May 12, 2010 - August 7, 2012

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

BD
CRD#: 6950
MEMPHIS (SHELBY), TN
Past

January 6, 2009 - May 3, 2010

FINACORP SECURITIES

BD
CRD#: 41569
PORTLAND, OR
Past

July 14, 2008 - July 17, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
PORTLAND, OR
Past

June 16, 2008 - July 17, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PORTLAND, OR
Past

January 2, 2001 - October 12, 2007

SEATTLE-NORTHWEST SECURITIES CORPORATION

BD
CRD#: 10639
PORTLAND, OR
Past

December 10, 1999 - December 22, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 28, 1998 - January 26, 2000

SEATTLE-NORTHWEST SECURITIES CORPORATION

BD
CRD#: 10639
SEATTLE, WA
Past

December 4, 1996 - April 15, 1998

COLUMBIA FINANCIAL CENTER INCORPORATED

BD
CRD#: 23562
PORTLAND, OR
Past

March 26, 1992 - November 5, 1996

U.S. BANCORP SECURITIES

BD
CRD#: 17439
PORTLAND, OR
Past

October 25, 1985 - January 25, 1988

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

State Registrations and Notice Filings

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

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
New Jersey
(1/28/2025)
RR
Oregon
(3/21/2023)
RR
Washington
(10/23/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/11/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/18/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/9/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CINCAP INVESTMENT GROUP, LLC
CINCAP INVESTMENT GROUP, INC | JK SECURITIES, INC. | CINCAP INVESTMENT GROUP, LLC

CRD#: 118392 / SEC#: , 8-53652

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
455 Delta Ave. Suite 207, Cincinnati, OH 45226
Mailing Address
455 Delta Ave. Suite 207, Cincinnati, OH 45226
Phone number
(513) 725-4841
Established
Ohio since 09/01/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MT. LOOKOUT CAPITAL HOLDINGS, LLCOWNER
TAUL, LARRY NELSON JRCEO2166909
OVERBECK, FRED THOMASCCO/COO4895534

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.

Company Information

CINCAP INVESTMENT GROUP, LLC

CRD#: 118392Cincinnati, OH 45226

TRUST BUT VERIFY

Monitor Steven Lemon

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Jamie Mittiga Powell
Jamie PowellAdvisorCheck Check Mark
CAPITAL ADVISORY SERVICES, LLC
IAR
RR
West Chester, OH
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics