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JT

James M. Thompson

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CRD#: 2312434
JT

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Malone Thompson JR, who also goes by James Thompson, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1999. James had worked at 6 firms and has passed the Series 63, Series 66, Series 52TO, SIE, Series 7, Series 52 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Thompson

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 18, 2023 - June 26, 2024

CINCAP INVESTMENT GROUP, LLC

BD
CRD#: 118392
CINCINNATI, OH
Past

May 13, 2013 - July 31, 2014

TRUSTFIRST

RIA
CRD#: 39057
KNOXVILLE, TN
Past

May 13, 2013 - July 31, 2014

TRUSTFIRST

BD
CRD#: 39057
KNOXVILLE, TN
Past

September 12, 2012 - May 21, 2013

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
KNOXVILLE, TN
Past

September 2, 2011 - May 21, 2013

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
KNOXVILLE, TN
Past

November 1, 2005 - September 6, 2011

SOUTHSTATE SECURITIES CORP.

BD
CRD#: 6950
MEMPHIS, TN
Past

March 12, 2004 - November 1, 2005

FIRST HORIZON ADVISORS, INC.

RIA
CRD#: 17117
MEMPHIS, TN
Past

May 28, 2003 - November 1, 2005

FIRST HORIZON ADVISORS, INC.

BD
CRD#: 17117
MEMPHIS, TN
Past

December 3, 1999 - May 28, 2003

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

March 22, 1999 - January 10, 2000

FIRST HORIZON ADVISORS, INC.

BD
CRD#: 17117
MEMPHIS, TN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/27/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/11/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 7/18/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/14/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 1/4/1993
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/29/2004
Investment Company Products/Variable Contracts Principal Examination

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)

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#: 118392

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