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Brian Matthew Pollard

Captrust

Raleigh, NC

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Current Employers
Captrust

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-01-12
NC RA APPROVED 2016-09-14
  • TX RA
    APPROVED
    Since 2022-01-12
  • NC RA
    APPROVED
    Since 2016-09-14

Branch Locations

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Capfinancial Partners Llc (Captrust) Raleigh NC 09/2016 Present
Capfinancial Securities Llc Raleigh NC 09/2016 Present
  • 09/2016 → Present
    Capfinancial Partners Llc (Captrust)
    Raleigh, NC
  • 09/2016 → Present
    Capfinancial Securities Llc
    Raleigh, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-05-30
S65 Uniform Investment Adviser Law Examination 1997-07-29
S63 Uniform Securities Agent State Law Examination 1997-07-08
  • S66 Uniform Combined State Law Examination
    2009-05-30
  • S65 Uniform Investment Adviser Law Examination
    1997-07-29
  • S63 Uniform Securities Agent State Law Examination
    1997-07-08
Designations

View on SEC IAPD

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Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

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