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4105 Lexington Avenue North Suite 250, Arden Hills, MN 55126 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-07-06 |
Branch Locations
1000 N. Main Street Suite 218, Fuquay Varina, NC 27526 • United States
1000 N. Main St. Ste. 218, Fuquay Varina, NC 27526 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-04-19 |
Branch Locations
1000 N. Main St. Ste. 218, Fuquay Varina, NC 27526 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Formula Folios Investments | Grand Rapids | MI | 09/2015 | 12/2021 |
| Capital Financial Management Nc, Inc. | Fuquay Varina | NC | 04/2011 | 12/2020 |
| Capital Consulting Group Nc, Inc. | Fuquay Varina | NC | 10/2014 | Present |
| Eqis Capital | San Rafael | CA | 08/2012 | Present |
| Gradient Investments, Llc | Arden Hills | MN | 05/2021 | Present |
| Brookstone Capital Management | Wheaton | IL | 01/2022 | 09/2023 |
| Capital Financial Management Nc, Inc | Fuquay Varina | NC | 04/2021 | Present |
1). Capital Consulting Group NC; Investment-related; 1000 N. Main Street, Ste. 218 Fuquay Varina, NC 27526; Marketing and sales of insurance products; Owner/President; Start date of 10/2014; Approx 80 hours per month all during securities trading hours; Active in the day to day operations of marketing and sales of insurance products. 2). Capital Financial Management NC; Investment-related; 1000 N. Main Street, Ste. 218 Fuquay Varina, NC 27526; Investment advisory firm (RIA), selling agreement with FormulaFolio Investments; Owner/President/Investment advisor representative; Start date of 10/2014; Approx 80 hours per month all during securities trading hours; Duties included meeting with prospective clients, discussing their concerns and any planning needs they may have. Putting together financial recommendations that may include an investment portfolio that meets goals and risk tolerance. 3). EQIS Capital Management; Investment-related; 1000 4TH ST., Ste 650 San Rafael, CA 94901; Investment advisory firm (RIA); Investment advisor representative (selling agreement with this RIA); Start date of 08/2012; 0 hours per month; This is a RIA firm with a selling agreement with Capital Financial Management.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-19 |
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