Fred T. Overbeck

CINCAP ASSET MANAGEMENT

Cincinnati, OH 45226

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CRD#: 4895534

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.

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.

COO of CINCaP Investment Group and Asset Management 455 Delta Ave, Cincinnati, OH COO of Broker Dealer and RIA 11/2020 Mt. Lookout Capital Holdings, LLC (Investment Related) 455 Delta Ave - Suite 207, Cincinnati, OH 45226 Investor Start Date 07/20, 0-2 hrs per month, 0 hours during business day FTO, Inc. LLC Sole proprietorship Member 2004 to present 0 hours during market 0 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fred Thomas Overbeck's 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

January 22, 2021 - Present

CINCAP ASSET MANAGEMENT

Office #1: 455 Delta Ave Suite 207, Cincinnati, OH 45226

RIA

CRD#: 311605

Cincinnati, OH

Current

December 8, 2020 - Present

CINCAP INVESTMENT GROUP, LLC

Office #1: 455 Delta Ave. Suite 207, Cincinnati, OH 45226

CRD#: 118392

Cincinnati, OH

Past

February 8, 2005 - June 15, 2020

ROSS, SINCLAIRE & ASSOCIATES, LLC

CRD#: 25440

CINCINNATI, OH

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.

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

Ohio
(12/9/2020)

IAR

Ohio
(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

State Security Law Exam

Series 63

Date: 6/3/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/7/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/14/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CINCAP ASSET MANAGEMENT

CINCAP ASSET MANAGEMENT | CINCAP ASSET MANAGEMENT, LLC

CRD#: 311605 / SEC#:

Indiana

Registered Investment Advisory firm - (2/23/2021 Approved)

Ohio

Registered Investment Advisory firm - (1/22/2021 Approved)

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Contact information

Main Address

455 Delta Avenue Suite 207, Cincinnati, OH 45226

Mailing Address

Phone number

(513) 725-4841

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 31,700,447

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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Firm Stability Insights

Fred T. Overbeck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fred Thomas Overbeck's CRS (Customer Relationship Summary).

Certified licenses

Experience

CINCAP INVESTMENT GROUP, LLC

ROSS, SINCLAIRE & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/3/2021

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/7/2005

Series 24

Date: 6/14/2018

FINRA

Current Firm

CINCAP ASSET MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CINCAP ASSET MANAGEMENT

TRUST BUT VERIFY

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