Thomas Ammon Cook
Professional Summary
Thomas Ammon Cook is a registered financial advisor currently at CAPACUITY LLC located in Lake Mary, Florida and CAPACUITY SECURITIES, INC. located in Lake Mary, Florida. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Thomas has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 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.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
18 years in the financial services industry
Current & Past Employments
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Current Firm
CAPACUITY LLC | CAVALLINO FINANCIAL LLC
Contact Information
Main Address
300 International Parkway Suite 350, Lake Mary, FL 32746Phone Number
(407) 949-6889# of Employees
40SEC notice filing (48 States and Territories)
Registered to provide investment advisory services in 48 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
218AUM (Assets Under Management)
$13,866,813,112Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | Cover Page | Report |
| 11/19/2024 | Cover Page | Report |
| 12/26/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
CAPACUITY LLC | CAVALLINO FINANCIAL LLC
State Registrations and Notice Filings
(9/10/2019)
(2/6/2020)
(10/6/2025)
(9/10/2019)
(9/10/2019)
(9/10/2019)
(5/8/2019)
(2/5/2020)
(10/6/2025)
(10/6/2025)
(10/6/2025)
(10/6/2025)
(9/10/2019)
(1/6/2020)
(10/6/2025)
(10/7/2025)
(10/6/2025)
(9/10/2019)
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 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 2008About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Feb 2023About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Ammon Cook's CRS (Customer Relationship Summary).
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