TK
Thomas A. Kicak
CAPIS
Dallas, TX 75201
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CRD#: 1441596
TK
Professional summary
Thomas Alan Kicak is a registered financial professional currently at CAPIS located in Dallas, Texas.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 10 firms and has passed the Series 66, Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 4, Series 53, Series 24, Series 14 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Alan Kicak'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
August 8, 2024 - Present
CAPIS
Office #1: 1700 Pacific Ave. Suite 1100, Dallas, TX 75201BD
CRD#: 7551
Dallas, TX
Past
August 17, 2022 - March 13, 2023
NETSHARES FINANCIAL SERVICES LLC
BD
CRD#: 307532
KATY, TX
Past
June 10, 2021 - October 8, 2021
BBVA SECURITIES INC.
BD
CRD#: 27060
HOUSTON, TX
Past
February 25, 2016 - June 2, 2021
BBVA SECURITIES INC.
BD
CRD#: 27060
HOUSTON, TX
Past
June 9, 2005 - August 14, 2015
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
November 28, 2000 - June 16, 2005
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
October 1, 1999 - November 14, 2000
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 26, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
February 14, 1996 - August 12, 1998
KEY CAPITAL MARKETS, INC.
BD
CRD#: 39832
CLEVELAND, OH
Past
April 22, 1991 - December 20, 1995
BUTLER, WICK & CO., INC.
BD
CRD#: 120
YOUNGSTOWN, OH
Past
September 4, 1990 - April 23, 1991
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 19, 1986 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
BD
CRD#: 7656
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
California(8/8/2024)
RR
New York(8/8/2024)
RR
Texas(8/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/20/1986
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CA
CAPIS
CAPIS | CAPITAL INSTITUTIONAL SERVICES, INC.
CRD#: 7551 / SEC#: , 8-22273
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
1700 Pacific Ave. Suite 1100, Dallas, TX 75201
Mailing Address
1700 Pacific Ave. Suite 1100, Dallas, TX 75201
Phone number
(214) 720-0055
Established
Texas since 08/31/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CULLEN POTTS STOCK TRUST | SHAREHOLDER | |
| HEIDEMANN REVOCABLE TRUST | SHAREHOLDER | |
| CHOATE, DAVID PAUL | CHIEF OPERATIONS OFFICER | 1568590 |
| DONALD C. POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | SHAREHOLDER | |
| DONALD C. POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | SHAREHOLDER | |
| HEIDEMANN, JORGEN HAMILTON | DIRECTOR | 1042114 |
| HUSEINBEGOVIC, BENIN NMN | CHIEF FINANCIAL OFFICER / FINOP | 4806696 |
| KICAK, THOMAS ALAN | CHIEF COMPLIANCE OFFICER | 1441596 |
| LAMENDOLA, STEPHEN DEAN | CHIEF INFORMATION OFFICER | 4006443 |
| POTTS, DONALD CULLEN II | TRUSTEE, CULLEN POTTS STOCK TRUST | 2845666 |
| POTTS, DONALD CULLEN II | CHAIRMAN OF THE BOARD | 2845666 |
| SARA SUE POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | SHAREHOLDER | |
| SARA SUE POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | SHAREHOLDER | |
| SEBERT, ANN VANSANT | TRUSTEE, SARA SUE POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, DONALD C. POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, SARA SUE POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, DONALD C. POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | 4589262 |
| SEBERT, ANN VANSANT | CHIEF EXECUTIVE OFFICER | 4589262 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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Company Information
CAPIS
CRD#: 7551Dallas, TX 75201TRUST BUT VERIFY
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