First National Capital Markets, Inc. (Omaha)

Name: First National Capital Markets, Inc.
Address: 1620 Dodge Street, Omaha, NE, 68197
Telephone: 402-602-7494

First National Capital Markets, Inc. is a large advisory firm based in Omaha. It manages $139 million of regulatory assets for 975 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of Alabama, Arizona, California, and 14 other states.

First National Capital Markets provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

First National Capital Markets: assets under management

The assets under management (AUM) of First National Capital Markets, Inc. is $139 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -81% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $139 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $142.56 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay First National Capital Markets, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at First National Capital Markets, Inc.

Greg Alan Schilling has been acting as President since 1 Dec 2008. Elizabeth A. Musser joined the executive team most recently as the Financial Principal/Treasurer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Maureen Oconnor	Assistant secretary	1 Sep 2001	Other	xxx-xx-xxxx
David Earl Jr Cota	President and director	1 Sep 2001	Other	2866911
Maureen Murray O'connor	Secretary	1 Sep 2001	Other	xxx-xx-xxxx
Clarkson Davis Lauritzen	Director	1 Jan 2005	Other	xxx-xx-xxxx
Nicholas Walker Baxter	Secretary	1 May 2005	Other	6390786
John Stephen Iii Cavanaugh	Chief compliance officer	1 Nov 2005	Other	2032977
Inc. First National Investment Banking	Direct owner	1 Nov 2007	75% - 100%	20-8949053
David Frank Mcleese	Director	1 Nov 2007	Other	xxx-xx-xxxx
Greg Alan Schilling	Director	1 Dec 2008	Other	4786049
Tiffany Dawn Brinkman	Financial principal/treasurer	1 Dec 2008	Other	5515577
Tiffany Dawn Henn	Financial principal/treasurer	1 Dec 2008	Other	5515577
James Vincent Collins	Chief compliance officer	1 Jun 2010	Other	1474546
John Stephen Iii Cavanaugh	Director of compliance	1 Jun 2010	Other	2032977
Jack Baldwin Wolfe	Director	1 Apr 2012	Other	1182646
Stephen Curtis Wade	Director	1 Mar 2014	Other	2416612
Elizabeth A. Musser	Financial principal/treasurer	1 Aug 2014	Other	6279733
Danielle Dee Hampton	Chief compliance officer	1 Aug 2014	Other	3096878

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Lauritzen Corporation	Direct owner	1 Jun 1997	25% - 50%	47-0444651
Inc. First National Of Nebraska	Direct owner	1 Apr 2007	75% - 100%	47-0523079

Based in Omaha

The principal office where First National Capital Markets, Inc. performs its advisory services is located at 1620 Dodge Street, Omaha, NE 68197, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 402-602-7494 or by fax 402-938-5337. The normal business hours are 8 a.m. - 5 p.m. on Monday - Friday. You can find more information about the New York firm at fncapitalmarkets.com.