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MH

Mary T. Holten

CINCAP INVESTMENT GROUP
Cincinnati, OH 45226
Some features on this profile are disabled
CRD#: 1565861
MH

Professional summary

Mary Therese Holten, who also goes by Holten, Mary T Knipper, is a registered financial professional currently at CINCAP INVESTMENT GROUP, LLC located in Cincinnati, Ohio.

Mary is registered as a RR (Registered Representative) and started their career in finance in 2001. Mary has worked at 6 firms and has passed the Series 66, Series 52TO, Series 50, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Holten | Mary T Knipper

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 Mary Therese Holten'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

December 8, 2020 - Present

CINCAP INVESTMENT GROUP, LLC

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

April 19, 2017 - June 15, 2020

ROSS, SINCLAIRE & ASSOCIATES, LLC

RIA
CRD#: 25440
CINCINNATI, OH
Past

March 23, 2009 - June 15, 2020

ROSS, SINCLAIRE & ASSOCIATES, LLC

BD
CRD#: 25440
CINCINNATI, OH
Past

March 20, 2008 - June 26, 2008

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
CINCINNATI, OH
Past

March 20, 2008 - June 26, 2008

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
CINCINNATI, OH
Past

August 7, 2007 - March 12, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CINCINNATI, OH
Past

August 1, 2007 - March 12, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CINCINNATI, OH
Past

February 9, 2007 - August 8, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CINCINNATI, OH
Past

February 9, 2007 - August 8, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CINCINNATI, OH
Past

June 26, 2003 - February 9, 2007

KEYBANC CAPITAL MARKETS INC.

RIA
CRD#: 566
CINCINNATI, OH
Past

February 21, 2001 - February 9, 2007

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CINCINNATI, OH

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
Kentucky
(12/16/2020)
RR
Ohio
(12/9/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/28/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 50
Date: 5/20/2019
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/17/2017
Municipal Securities Principal 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)
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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)

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

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