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KS

Karl A. Spisak

CINCAP INVESTMENT GROUP
Cincinnati, OH 45226
Some features on this profile are disabled
CRD#: 5206890
KS

Professional summary

Karl A Spisak MR is a registered financial professional currently at CINCAP INVESTMENT GROUP, LLC located in Cincinnati, Ohio.

Karl is registered as a RR (Registered Representative) and started their career in finance in 2007. Karl has worked at 2 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Karl A Spisak MR'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

December 9, 2020 - Present

CINCAP INVESTMENT GROUP, LLC

Office #1: 455 Delta Ave. Suite 207, Cincinnati, OH 45226
BD
CRD#: 118392
Cincinnati, OH
Past

February 23, 2007 - August 21, 2020

ROSS, SINCLAIRE & ASSOCIATES, LLC

BD
CRD#: 25440
CINCINNATI, OH

State Registrations and Notice Filings

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

RR
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

RR
Ohio
(12/9/2020)

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/22/2007
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CINCAP INVESTMENT GROUP, LLC
CINCAP INVESTMENT GROUP, INC | JK SECURITIES, INC. | CINCAP INVESTMENT GROUP, LLC

CRD#: 118392 / SEC#: , 8-53652

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
455 Delta Ave. Suite 207, Cincinnati, OH 45226
Mailing Address
455 Delta Ave. Suite 207, Cincinnati, OH 45226
Phone number
(513) 725-4841
Established
Ohio since 09/01/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (38 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MT. LOOKOUT CAPITAL HOLDINGS, LLCOWNER
TAUL, LARRY NELSON JRCEO2166909
OVERBECK, FRED THOMASCCO/COO4895534

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

CINCAP INVESTMENT GROUP, LLC

CRD#: 118392Cincinnati, OH 45226

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