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John Carol Garrett

Captrust

Raleigh, NC

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Current Employers
Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2015-04-22
  • NC RA
    APPROVED
    Since 2015-04-22

Branch Locations

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Capfinancial Securities Llc Raleigh NC 10/2003 05/2024
Capfinancial Partners Llc (Captrust) Raleigh NC 10/2003 Present
  • 10/2003 → 05/2024
    Capfinancial Securities Llc
    Raleigh, NC
  • 10/2003 → Present
    Capfinancial Partners Llc (Captrust)
    Raleigh, NC
Previous Registrations
  • 2003-10-20 → 2015-04-22
    Capfinancial Securities, Llc.
    Raleigh, NC
    Raleigh, NC
    Raleigh, NC
    Raleigh, NC
  • 2002-10-23 → 2003-10-17
    Wells Fargo Advisors Financial Network, Llc
    Raleigh, NC
  • 2001-12-31 → 2002-06-27
    Captrust Financial Advisors, Llc
    Raleigh, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-04-07
S63 Uniform Securities Agent State Law Examination 1988-10-21
  • S66 Uniform Combined State Law Examination
    2000-04-07
  • S63 Uniform Securities Agent State Law Examination
    1988-10-21
Other Names
  • John Carol (Jr) Garrett

View on SEC IAPD

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