Monica M. Sipes

QUADCAP WEALTH MANAGEMENT

FRISCO, TX 75034

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CRD#: 5724163

Professional summary

Monica Marie Sipes, CFP®, CIMA®, who also goes by Monica Marie Hinkler, Monica Hinkler, is a registered financial advisor currently at QUADCAP WEALTH MANAGEMENT, LLC located in Frisco, Texas.

Monica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Monica has worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Monica Marie Hinkler | Monica Hinkler

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.

Exencial Wealth Advisors, LLC: Equity Partner / Owner, 2019 to Present I am an Equity Partner of less than 5% of Exencial Wealth Advisors. I spend 100% of my work week performing services for the firm.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monica Marie Sipes'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®

CFP^®

Certified Financial Planner

Start date: 2013

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 14, 2024 - Present

QUADCAP WEALTH MANAGEMENT, LLC

Office #1: 2600 Network Blvd Suite 300, Frisco, TX 75034

RIA

CRD#: 151490

FRISCO, TX

Past

April 22, 2015 - June 14, 2024

EXENCIAL WEALTH ADVISORS

RIA

CRD#: 130475

Dallas, TX

Past

April 28, 2014 - April 6, 2015

ACT WEALTH MANAGEMENT, LLC

RIA

CRD#: 155131

PLANO, TX

Past

February 13, 2013 - April 25, 2014

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DALLAS, TX

Past

February 13, 2013 - April 25, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

DALLAS, TX

Past

May 8, 2012 - February 20, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

FRISCO, TX

Past

May 8, 2012 - February 20, 2013

LPL FINANCIAL LLC

CRD#: 6413

FRISCO, TX

Past

February 1, 2012 - May 8, 2012

COMMERCE WEALTH ADVISERS, LLC

RIA

CRD#: 144449

FRISCO, TX

Past

February 1, 2012 - May 8, 2012

DEWAAY FINANCIAL NETWORK, LLC

CRD#: 30767

FRISCO, TX

Past

June 10, 2011 - January 24, 2012

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WESTLAKE, TX

Past

December 9, 2010 - January 23, 2012

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

November 9, 2009 - October 20, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QUADCAP WEALTH MANAGEMENT, LLC

CRD#: 151490 / SEC#: 801-79483

RIA

Registered Investment Advisory firm - (4/17/2014 Approved)

Louisiana

Registered Investment Advisory firm - (5/12/2014 Terminated)

Mississippi

Registered Investment Advisory firm - (5/8/2014 Terminated)

Texas

Registered Investment Advisory firm - (5/5/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(5/14/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/9/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/19/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/12/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/6/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

QUADCAP WEALTH MANAGEMENT, LLC

CRD#: 151490 / SEC#: 801-79483

RIA

Registered Investment Advisory firm - (4/17/2014 Approved)

Louisiana

Registered Investment Advisory firm - (5/12/2014 Terminated)

Mississippi

Registered Investment Advisory firm - (5/8/2014 Terminated)

Texas

Registered Investment Advisory firm - (5/5/2014 Terminated)

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Contact information

Main Address

2600 Network Blvd Suite 300, Frisco, TX 75034

Mailing Address

Phone number

(972) 818-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - QUADCAP (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,764
AUM (Assets Under Management)	$ 1,136,687,690

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report

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

Monica M. Sipes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monica Marie Sipes's CRS (Customer Relationship Summary).

Certified licenses

Experience

EXENCIAL WEALTH ADVISORS

ACT WEALTH MANAGEMENT, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

COMMERCE WEALTH ADVISERS, LLC

DEWAAY FINANCIAL NETWORK, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

QUADCAP WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/9/2011

Series 63

Date: 11/19/2009

Series 7

Date: 1/12/2011

Series 6

Date: 11/6/2009

Current Firm

QUADCAP WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

QUADCAP WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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