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Larry Nelson Taul Jr

CINCAP INVESTMENT GROUP
CINCINNATI, OH
·CRD# 2166909·35 years experience

Professional Summary

Larry Nelson Taul JR, who also goes by Nelson Taul, is a registered financial advisor currently at CINCAP INVESTMENT GROUP, LLC located in Cincinnati, Ohio. Larry is registered as a RR (Registered Representative) and started their career in finance in 1991. Larry has worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 52, Series 24 and Series 53 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Nelson Taul

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

35 years in the financial services industry

Current & Past Employments

CINCAP INVESTMENT GROUP, LLC·CRD# 118392
BD
1. 455 Delta Ave. Suite 207, Cincinnati, OH 452262. 455 Delta Ave Suite 207, Cincinnati, OH 45226
December 8, 2020 - Present
ROSS, SINCLAIRE & ASSOCIATES, LLC·CRD# 25440
BD
Cincinnati, OH
September 18, 1991 - June 15, 2020

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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)

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

FINRA licenses (38 States and Territories)

Registered to provide investment advisory services in 0 US 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

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(2/2/2021)
RR
Arizona
(12/24/2020)
RR
Arkansas
(1/7/2021)
RR
California
(1/5/2021)
RR
Colorado
(12/22/2020)
RR
Connecticut
(3/8/2021)
RR
Delaware
(2/5/2021)
RR
District of Columbia
(2/26/2021)
RR
Florida
(12/8/2020)
RR
Georgia
(2/2/2021)
RR
Illinois
(2/3/2021)
RR
Indiana
(1/12/2021)
RR
Kansas
(6/9/2021)
RR
Kentucky
(12/14/2020)
RR
Maryland
(1/14/2021)
RR
Massachusetts
(2/3/2021)
RR
Michigan
(1/4/2021)
RR
Minnesota
(7/15/2021)
RR
Mississippi
(3/7/2022)
RR
Missouri
(2/3/2021)
RR
Nevada
(12/15/2020)
RR
New Hampshire
(1/21/2021)
RR
New Jersey
(2/2/2021)
RR
New York
(12/8/2020)
RR
North Carolina
(12/9/2020)
RR
Ohio
(12/9/2020)
RR
Oklahoma
(1/4/2021)
RR
Oregon
(2/2/2021)
RR
Pennsylvania
(12/15/2020)
RR
Tennessee
(1/27/2021)
RR
Texas
(1/11/2021)
RR
Utah
(2/8/2022)
RR
Virginia
(1/5/2021)
RR
Washington
(12/22/2020)
RR
West Virginia
(1/14/2021)
RR
Wisconsin
(12/15/2020)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1992About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 1998About the Series 7 exam

Series 52 — Municipal Securities Representative Examination

Passed Sep 1991About the Series 52 exam

Series 24 — General Securities Principal Examination

Passed Dec 2007About the Series 24 exam

Series 53 — Municipal Securities Principal Examination

Passed Nov 2003About the Series 53 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Larry Nelson Taul JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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