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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2022-08-19 |
| TX | RA | APPROVED | 2022-08-19 |
Branch Locations
1625 N. Waterfront Pkwy., Ste 150, Wichita, KS 67206 • United States
1 Compound Drive, Hutchinson, KS 67502 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Frontier Wealth Management Llc | Wichita | KS | 04/2015 | 07/2022 |
| Purshe Kaplan Sterling Investments | Albany | NY | 04/2015 | 11/2017 |
| Capfinancial Partners, Llc (Captrust) | Raleigh | NC | 07/2022 | Present |
| Capfinancial Securities, Llc | Raleigh | NC | 07/2022 | Present |
1. HUTCHINSON REGIONAL HEALTHCARE SYSTEM; NOT INVESTMENT RELATED; 07/2011; 5-6 HOURS/MONTH; 1-3 HOURS/MONTH DURING SECURITIES HOURS; MEMBER OF A 15 PERSON BOARD OF DIRECTORS OF A NON PROFIT HEALTHCARE SYSTEM. DUTIES INCLUDE ATTENDING BOARD MEETINGS AS WELL AS FINANCE AND PLANNING COMMITTEE MEETINGS, HELPING TO SET STRATEGIC GOALS, REVIEW PERFORMANCE AND HELP GUIDE THE CEO AND MANAGEMENT TEAM IN THEIR EFFORTS TO MANAGE AND GROW SYSTEM 2. ACLARION BOARD OF DIRECTORS; 08/2016; 5-6 HOURS/MONTH; 1-3 HOURS/MONTH DURING SECURITIES HOURS; MEMBER OF 7 PERSON BOARD; HELPING TO SET LONG-TERM STRATEGIC GOALS AND PLAN AND HELP THE CEO AND CHAIRMAN OF THE BOARD ADVANCE AND GROW COMPANY 3. Cosmoshpere; Investment-Related: No; 1100 N. Plum St Hutchinson, KS; Space Museum; Board member; Start: 09/1/2021; Hours/Month: 1; Hours during Market Hours: 1; Duties: Board member. Review foundation's financials. 4. Trinity Catholic High School; Investment-Related: No; 1400 E. 17th Hutchinson, KS; Church ; Basketball Coach; Start;11/1/2017; Hours/Month:60 ; Hours during Market Hours:10 ; Duties: Head coach for the boys basketball program. 5. Hutchinson Community Foundation; Investment-Related: No; 1N, Main, Ste 501 Hutchison, KS; community foundation ; Board member/Treasurer ; Start;1/1/2018; Hours/Month: 3; Hours during Market Hours: 3; Duties: serve on finance and governance committees.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-12-13 |
| S66 | Uniform Combined State Law Examination | 2000-08-29 |
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