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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-03-25 |
| MA | RA | APPROVED | 2024-11-29 |
| NC | RA | APPROVED | 2021-03-28 |
| FL | RA | APPROVED | 2021-03-19 |
| GA | RA | APPROVED | 2021-03-19 |
Branch Locations
5511 Capital Center Drive Suite 104, Raleigh, NC 27606 • 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 |
|---|---|---|---|---|
| Cap Wealth Planning | Raleigh | NC | 10/2014 | 02/2021 |
| Allstate Insurance Co | Holly Springs | NC | 11/2014 | 02/2021 |
| Capwealth Planning | Raleigh | NC | 11/2014 | 02/2021 |
| Guardian Life Insurance Company | Raleigh | NC | 02/2021 | Present |
| Park Avenue Securities | Raleigh | NC | 02/2021 | Present |
INSURANCE BROKER- PRODUCTS OTHER THAN GUARDIAN ADDRESS: RALEIGH, NC 27617 START DATE: 06/01/2011 5 HOURS PER MONTH/ 2 DURING NORMAL BUSINESS HOURS NON INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-01-27 |
| S63 | Uniform Securities Agent State Law Examination | 2002-04-11 |
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