Donald W. Capone

J.K. FINANCIAL

HOUSTON, TX

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CRD#: 4439111

Professional summary

Donald William Capone III is a registered financial advisor currently at J.K. FINANCIAL, INC. located in Houston, Texas.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Donald has worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Donald William Capone III'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

November 14, 2023 - Present

J.K. FINANCIAL, INC.

RIA

CRD#: 114929

HOUSTON, TX

Past

May 9, 2012 - July 10, 2019

J.K. FINANCIAL, INC.

RIA

CRD#: 114929

DALLAS, TX

Past

August 16, 2001 - July 25, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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".

J.K. FINANCIAL, INC.

J.K. FINANCIAL, INC. | JK CAPITAL MANAGEMENT

CRD#: 114929 / SEC#: 801-116829

RIA

Registered Investment Advisory firm - (6/24/2019 Approved)

Texas

Registered Investment Advisory firm - (7/10/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(11/14/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/16/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/15/2001

General Securities Representative Examination

Current Firm

J.K. FINANCIAL, INC.

J.K. FINANCIAL, INC. | JK CAPITAL MANAGEMENT

CRD#: 114929 / SEC#: 801-116829

RIA

Registered Investment Advisory firm - (6/24/2019 Approved)

Texas

Registered Investment Advisory firm - (7/10/2019 Terminated)

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Contact information

Main Address

8222 Douglas Ave Suite 590, Dallas, TX 75225

Mailing Address

Phone number

(214) 706-4300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

J.K. FINANCIAL, INC. ADV PART 2 BROCHURE (2/3/2025)

Regulatory assets under management

Total Number of Accounts	403
AUM (Assets Under Management)	$ 172,652,000

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.

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Donald W. Capone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald William Capone III's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.K. FINANCIAL, INC.

J.K. FINANCIAL, INC.

LPL FINANCIAL LLC

Primary Firm SEC Registration

J.K. FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/16/2001

Series 7

Date: 8/15/2001

Current Firm

J.K. FINANCIAL, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J.K. FINANCIAL, INC.

TRUST BUT VERIFY

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