Lindsey A. Simek

CAPSTONE INVESTMENT FINANCIAL GROUP

Colorado Springs, CO 80903

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CRD#: 6979602

Professional summary

Lindsey Ann Simek, who also goes by Lindsey Ann Cox, Lindsey Ann Quick, is a registered financial advisor currently at CAPSTONE INVESTMENT FINANCIAL GROUP, LLC located in Colorado Springs, Colorado.

Lindsey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Lindsey has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lindsey Ann Cox | Lindsey Ann Quick

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) - RIA

Click below to view Lindsey Ann Simek'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

January 20, 2021 - Present

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

Office #1: 615 N. Nevada, Colorado Springs, CO 80903

RIA

CRD#: 122575

Colorado Springs, CO

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".

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC | DUNN WARREN INVESTMENT ADVISORS, LLC | DUNN CAPITAL MANAGEMENT, LLC | DUNN CAPITAL MANAGEMENT

CRD#: 122575 / SEC#: 801-67699

RIA

Registered Investment Advisory firm - (4/17/2007 Approved)

Colorado

Registered Investment Advisory firm - (5/2/2007 Terminated)

Florida

Registered Investment Advisory firm - (4/24/2007 Terminated)

Texas

Registered Investment Advisory firm - (4/20/2007 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

Colorado
(1/20/2021)

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 65

Date: 1/19/2021

Uniform Investment Adviser Law Examination

Current Firm

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC | DUNN WARREN INVESTMENT ADVISORS, LLC | DUNN CAPITAL MANAGEMENT, LLC | DUNN CAPITAL MANAGEMENT

CRD#: 122575 / SEC#: 801-67699

RIA

Registered Investment Advisory firm - (4/17/2007 Approved)

Colorado

Registered Investment Advisory firm - (5/2/2007 Terminated)

Florida

Registered Investment Advisory firm - (4/24/2007 Terminated)

Texas

Registered Investment Advisory firm - (4/20/2007 Terminated)

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Contact information

Main Address

115 West Salori Court, Webster, NY 14580

Mailing Address

Phone number

(719) 477-9883

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2A APPENDIX 1 AND 2B (3/3/2025)

Regulatory assets under management

Total Number of Accounts	881
AUM (Assets Under Management)	$ 136,583,840

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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Lindsey A. Simek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lindsey Ann Simek's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

Primary Firm SEC Registration

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/19/2021

Current Firm

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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