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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED | 2022-03-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capfinancial Partners Llc (Captrust) | Raleigh | NC | 02/2022 | Present |
| Capfinancial Securities Llc | Raleigh | NC | 02/2022 | Present |
| Robert W. Baird & Co. Incorporated | Cincinnati | OH | 03/1997 | 02/2022 |
1. Name: Joseph J Schott Foundation; Not investment-related; Address: 703 Olde Central Way, Mount Pleasant, SC 29464; Nature: Family Foundation 501-3-C; Role: Trustee/Vice President; Start Date: 1/2017; Appx hrs: 12 hours per month; 1 Hr/month during security trading hours; Duties: review grant proposal 2. Name: Schott Memorial Center Foundation/Schott Communities; Investment-related: No; Address: 6591 S Flamingo Road, Cooper City, FL 33330; Nature: Non-Profit Foundation; Role: Board Member, President; Start Date: 1/1992; Appx hrs: 1 hour/month, 1hr/m during security trading hours, Duties: As a board member participate in the investment committee meeting
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-24 |
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