Fred Thomas Overbeck
Professional Summary
Fred Thomas Overbeck is a registered financial advisor currently at CINCAP ASSET MANAGEMENT located in Cincinnati, Ohio and CINCAP INVESTMENT GROUP, LLC located in Cincinnati, Ohio. Fred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Fred has worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
Years of Experience
21 years in the financial services industry
Current & Past Employments
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
Current Firm
CINCAP ASSET MANAGEMENT | CINCAP ASSET MANAGEMENT, LLC
Contact Information
Main Address
455 Delta Avenue Suite 207, Cincinnati, OH 45226Phone Number
(513) 725-4841# of Employees
2Documents
Regulatory Assets Under Management
Total Number of Accounts
4AUM (Assets Under Management)
$34,302,859Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
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.
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
State Registrations and Notice Filings
(12/9/2020)
(1/22/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Fred Thomas Overbeck's CRS (Customer Relationship Summary).
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
