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BG

Brian S. Gerson

CINCAP INVESTMENT GROUP
Cincinnati, OH 45226
Some features on this profile are disabled
CRD#: 2998306
BG

Professional summary

Brian Scott Gerson, who also goes by Brian Grubstein, is a registered financial professional currently at CINCAP INVESTMENT GROUP, LLC located in Cincinnati, Ohio.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian Grubstein

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 Brian Scott Gerson'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

May 1, 2024 - Present

CINCAP INVESTMENT GROUP, LLC

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

January 5, 2010 - May 6, 2024

ROOSEVELT & CROSS, INCORPORATED

BD
CRD#: 6964
Sudbury, MA
Past

December 3, 2007 - January 5, 2010

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BOSTON, MA
Past

March 19, 1998 - December 10, 2007

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
BOSTON, MA

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
(5/1/2024)
RR
Massachusetts
(5/1/2024)
RR
New York
(5/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/23/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 5/1/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/27/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/19/2010
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)

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#: 118392Cincinnati, OH 45226

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