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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-04-15 |
| VA | RA | APPROVED | 2020-04-15 |
Branch Locations
10 South Jefferson St. #1210, Roanoke, VA 24011 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Roanoke | VA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Roanoke | VA | 11/2016 | 03/2020 |
| Capfinancial Partners, Llc. (Captrust) | Raleigh | NC | 03/2020 | Present |
1) JUNIOR LEAGUE OF ROANOKE VALLEY; INVESTMENT RELATED; ROANOKE,VA; INVESTMENT COMMITTEE ADVISORY BOARD MEMBER; START DATE 01/17/2020; NUMBER OF HOURS PER MONTH .5; NUMBER OF HOURS DURING TRADING .5; ATTENDING MEETINGS TO REVIEW INVESTMENT MANAGERS AND ASSET ALLOCATION, PERIODICALLY REVIEW THE INVESTMENT POLICY STATEMENT, REVIEW FEES, AND RETAIN OR REPLACE MANAGERS AND/OR INVESTMENTS AS NEEDED. 2) Name: CFA Society Virginia Investment-Related: No. Address: 9500 Arrowdel Road Richmond, VA 23229 Nature: financial professional organization Position/Title: Board Member, Start: 06/01/2021, Hours/Month: 1; Hours during Market Hours: 1, Duties: networking, professional development
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-04-27 |
| S63 | Uniform Securities Agent State Law Examination | 2005-12-01 |
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