VM
Vidhya P. Muthiah
CAPIS
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 6778616
VM
Professional summary
Vidhya P Muthiah, who also goes by VIdhya Parameswari Muthiah, is a registered financial professional currently at CAPIS located in Dallas, Texas.
Vidhya is registered as a RR (Registered Representative) and started their career in finance in 2020. Vidhya has worked at 4 firms and has passed the Series 66, Series 52TO, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Vidhya Parameswari Muthiah
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.
1) OUTSIDE INSURANCE ACTIVITY- Start date: 05/01/2020 Opes One Wealth Innovation, Affiliated with Guardian Life Insurance. Non-Investment related Insurance Broker - Whole Life Insurance, Term Insurance and Disability Insurance. 15303 N. Dallas Parkway, Suite 550 Addison, TX 75001 Number of hours each month: 1 I have three clients in total and sold 6 policies in total. (three whole life insurance policies, two term policies and one disability policy). The expectation is to reach the clients once a year to provide policy review. The total hours I would be spending per client, per policy is one hour per year. So six hours per year.
CRS (Client Relationship Summary) - BD
Click below to view Vidhya P Muthiah'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®
NoneExperience
Current
May 8, 2024 - Present
CAPIS
Office #1: 1700 Pacific Ave. Suite 1100, Dallas, TX 75201BD
CRD#: 7551
Dallas, TX
Past
June 22, 2022 - April 12, 2024
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
DALLAS, TX
Past
June 22, 2022 - April 12, 2024
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
February 10, 2022 - April 28, 2022
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
ADDISON, TX
Past
September 19, 2020 - April 28, 2022
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
ADDISON, TX
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
Texas(5/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 4/3/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 9/19/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CA
CAPIS
CAPIS | CAPITAL INSTITUTIONAL SERVICES, INC.
CRD#: 7551 / SEC#: , 8-22273
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1700 Pacific Ave. Suite 1100, Dallas, TX 75201
Mailing Address
1700 Pacific Ave. Suite 1100, Dallas, TX 75201
Phone number
(214) 720-0055
Established
Texas since 08/31/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CULLEN POTTS STOCK TRUST | SHAREHOLDER | |
| HEIDEMANN REVOCABLE TRUST | SHAREHOLDER | |
| CHOATE, DAVID PAUL | CHIEF OPERATIONS OFFICER | 1568590 |
| DONALD C. POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | SHAREHOLDER | |
| DONALD C. POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | SHAREHOLDER | |
| HEIDEMANN, JORGEN HAMILTON | DIRECTOR | 1042114 |
| HUSEINBEGOVIC, BENIN NMN | CHIEF FINANCIAL OFFICER / FINOP | 4806696 |
| KICAK, THOMAS ALAN | CHIEF COMPLIANCE OFFICER | 1441596 |
| LAMENDOLA, STEPHEN DEAN | CHIEF INFORMATION OFFICER | 4006443 |
| POTTS, DONALD CULLEN II | TRUSTEE, CULLEN POTTS STOCK TRUST | 2845666 |
| POTTS, DONALD CULLEN II | CHAIRMAN OF THE BOARD | 2845666 |
| SARA SUE POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | SHAREHOLDER | |
| SARA SUE POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | SHAREHOLDER | |
| SEBERT, ANN VANSANT | TRUSTEE, SARA SUE POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, DONALD C. POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, SARA SUE POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, DONALD C. POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | 4589262 |
| SEBERT, ANN VANSANT | CHIEF EXECUTIVE OFFICER | 4589262 |
Disclosures
| Regulatory Event | 9 |
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
CAPIS
CRD#: 7551Dallas, TX 75201TRUST BUT VERIFY
Monitor Vidhya Muthiah
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
