CB
Chad Barnes
CAPIS
Dallas, TX 75201
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CRD#: 2311031
CB
Professional summary
Chad Barnes, who also goes by Chad Allen Barnes, is a registered financial professional currently at CAPIS located in Dallas, Texas.
Chad is registered as a RR (Registered Representative) and started their career in finance in 1999. Chad has worked at 3 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chad Allen Barnes
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 Chad Barnes'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
November 24, 2025 - Present
CAPIS
Office #1: 1700 Pacific Ave. Suite 1100, Dallas, TX 75201BD
CRD#: 7551
Dallas, TX
Past
May 23, 2024 - October 28, 2025
ETC BROKERAGE SERVICES, LLC
BD
CRD#: 145276
Dallas, TX
Past
July 26, 2022 - May 15, 2024
HILLTOP SECURITIES INC.
BD
CRD#: 6220
DALLAS, TX
Past
November 8, 2010 - September 23, 2013
HILLTOP SECURITIES INC.
BD
CRD#: 6220
DALLAS, TX
Past
September 16, 2005 - March 16, 2009
CAPIS
BD
CRD#: 7551
DALLAS, TX
Past
July 30, 1999 - August 26, 2005
HILLTOP SECURITIES INC.
BD
CRD#: 6220
DALLAS, TX
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
Texas(2/21/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 3/28/2026
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 2/16/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 7/25/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/14/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
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 KRISTI POTTS WETHERINGTON | 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 DONALD CULLEN POTTS II | 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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