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TL

Thomas J. Lakatos

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CRD#: 4420088
TL

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.

Thomas Joseph Lakatos, who also goes by Tom Lakatos, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Lakatos

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 28, 2014 - January 26, 2026

CAPITAL ANALYSTS

RIA
CRD#: 162200
Fort Washington, PA
Past

January 7, 2014 - January 26, 2026

LINCOLN INVESTMENT

RIA
CRD#: 519
Fort Washington, PA
Past

January 1, 2014 - January 26, 2026

LINCOLN INVESTMENT

BD
CRD#: 519
Fort Washington, PA
Past

March 8, 2012 - September 19, 2012

NEW ENGLAND SECURITIES

BD
CRD#: 615
ORLANDO, FL
Past

November 10, 2010 - March 6, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ORLANDO, FL
Past

November 3, 2010 - March 6, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
ORLANDO, FL
Past

September 16, 2010 - November 3, 2010

NEW ENGLAND SECURITIES

BD
CRD#: 615
PHOENIX, AZ
Past

April 27, 2010 - September 13, 2010

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
PHOENIX, AZ
Past

March 31, 2010 - September 13, 2010

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
PHOENIX, AZ
Past

October 21, 2009 - March 22, 2010

COLE WEALTH MANAGEMENT, LLC

RIA
CRD#: 134509
SCOTTSDALE, AZ
Past

August 30, 2001 - September 8, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
SCOTTSDALE, AZ
Past

August 29, 2001 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 29, 2001 - September 8, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
SCOTTSDALE, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA
Registered Investment Advisory firm - (4/17/2012 Approved)

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
IAR
Series 65
Date: 10/9/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/14/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/23/2007
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/24/2007
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 51
Date: 1/27/2006
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/3/2005
General Securities Principal Examination

Current Firm

CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA
Registered Investment Advisory firm - (4/17/2012 Approved)
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Contact information

Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
Phone number
(800) 242-1421
Established
Firm type
Fiscal year end
# of Employees
739

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CAPITAL ANALYSTS, LLC FORM ADV PART 2A BROCHURE (8/13/2025)
CAPITAL ANALYSTS, LLC FORM ADV PART 2A APPENDIX I BROCHURE (8/13/2025)

Regulatory assets under management

Total Number of Accounts26,578
AUM (Assets Under Management)$ 8,713,202,466

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/22/2025
Cover Page
Report
08/28/2024
Cover Page
Report
09/27/2023
Cover Page
Report
03/29/2023
Cover Page
Report

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

CAPITAL ANALYSTS

CRD#: 162200

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