James R. Hartke

CINCAP ASSET MANAGEMENT

CINCINNATI, OH 45226

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CRD#: 4985368

Professional summary

James Richard Hartke II is a registered financial advisor currently at CINCAP ASSET MANAGEMENT located in Cincinnati, Ohio and CINCAP INVESTMENT GROUP, LLC located in Cincinnati, Ohio.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. James has worked at 5 firms and has passed the Series 66, 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.

RENTAL PROPERTY INVESTMENT-RELATED NO 3571 ERIE AVE CINCINNATI OH 45208 RENTAL PROPERTY OWNER, LESSOR 10/1/2011 1 HOURS/MONTH 0 HOURS DURING MARKET LANDLORD/LESSOR RESPONSIBLE FOR RENTING OUT UNIT 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 Advisory Group Member MSRB Not investment related, attend bi monthly virtual meetings Start date 12/9/2022 CINCaP Asset Management- IAR, investment related, start date 10/2024

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Hartke II'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

October 16, 2024 - Present

CINCAP ASSET MANAGEMENT

Office #1: 455 Delta Avenue 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

December 1, 2008 - June 15, 2020

ROSS, SINCLAIRE & ASSOCIATES, LLC

CRD#: 25440

CINCINNATI, OH

Past

December 19, 2007 - December 1, 2008

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

CINCINNATI, OH

Past

December 19, 2007 - December 1, 2008

NATCITY INVESTMENTS, INC.

CRD#: 17490

CINCINNATI, OH

Past

September 5, 2006 - October 24, 2007

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

CINCINNATI, OH

Past

February 15, 2006 - October 24, 2007

A. G. EDWARDS & SONS, INC.

CRD#: 4

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

California
(1/5/2021)

Connecticut
(2/27/2022)

Florida
(12/8/2020)

Georgia
(2/2/2021)

Illinois
(2/3/2021)

Kentucky
(12/14/2020)

Maryland
(1/14/2021)

Massachusetts
(2/3/2021)

Michigan
(1/4/2021)

Minnesota
(7/15/2021)

New Jersey
(2/2/2021)

New York
(12/8/2020)

North Carolina
(8/12/2024)

Ohio
(12/9/2020)

IAR

Ohio
(10/16/2024)

Pennsylvania
(12/15/2020)

Texas
(1/29/2021)

Wisconsin
(12/15/2020)

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

IAR

Series 66

Date: 2/24/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/14/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/5/2021

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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James R. Hartke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Hartke II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CINCAP INVESTMENT GROUP, LLC

ROSS, SINCLAIRE & ASSOCIATES, LLC

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/24/2006

SIE

Date: 10/1/2018

Series 7

Date: 2/14/2006

Series 24

Date: 4/5/2021

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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