JS
John M. Seyler
CAPIS
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 847575
JS
Professional summary
John Michael Seyler, who also goes by John M Seyler, is a registered financial professional currently at CAPIS located in Dallas, Texas.
John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John M Seyler
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.
CRS (Client Relationship Summary) - BD
Click below to view John Michael Seyler'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
June 19, 2019 - Present
CAPIS
Office #1: 1700 Pacific Ave. Suite 1100, Dallas, TX 75201BD
CRD#: 7551
Dallas, TX
Past
October 26, 2017 - October 11, 2018
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
July 1, 2015 - October 11, 2018
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
NEW YORK, NY
Past
February 11, 2014 - March 20, 2014
KOTA GLOBAL SECURITIES INC.
BD
CRD#: 28137
NEW YORK, NY
Past
September 18, 2009 - February 15, 2012
JACKSON SECURITIES LLC
BD
CRD#: 19897
NEW YORK, NY
Past
January 2, 2007 - November 7, 2008
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
NEW YORK, NY
Past
July 19, 1988 - January 2, 2007
LYNCH, JONES & RYAN LLC
BD
CRD#: 3198
SAN FRANCISCO, CA
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
New York(6/19/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 12/22/1977
Registered Representative ExaminationPrincipal/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 John Seyler
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
