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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2020-05-06 |
Branch Locations
3100 Village Point Ste 200, Chesterton, IN 46304 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lakeside Wealth Management Group | Chesterton | IN | 10/2012 | 05/2020 |
| First Allied Securities, Inc. | Chesterton | IN | 08/2014 | 05/2020 |
| Capfinancial Partners Llc (Captrust) | Raleigh | NC | 05/2020 | Present |
| Capfinancial Securities Llc | Raleigh | NC | 05/2020 | Present |
1) IN HOUSE COUNSEL; ATTORNEY; ATTORNEY SERVICES; START DATE 11/09/2012; 160 HOURS PER MONTH. 2) MAYETTE & DRAPER LAW OFFICE; ATTORNEY; ATTORNEY SERVICES; START DATE 01/01/2011; 4 HOURS PER MONTH. 3) Name: Ronald McDonald House Charities of Michiana, Address: 510 N. Michigan Street, Suite 310, South Bend, IN 46601, Not Investment Related, Nature: Foundation/Charitable Institution, Position/Title: Advisory Board Member, Start: 03/01/2024, Hours/Month: 1, Hours during Market Hours: 0, Duties: Member of finance committee
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-09-15 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-22 |
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