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Dallas, TX • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED | 2014-08-18 |
Branch Locations
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 |
|---|---|---|---|---|
| Capital Security Financial Services Llc | Dallas | TX | 02/1999 | Present |
| Alliance Wealth Management, Llc | Dallas | TX | 11/2009 | Present |
| Capital Asset Advisory Services Llc | Haslett | MI | 11/2012 | 01/2017 |
(1) CAPITAL SECURITY FINANCIAL SERVICES LLC, POSITION: PRESIDENT; NATURE: INSURANCE. INVESTMENT RELATED: NO, ADDRESS: 900 Excalibur Drive, Highland Village, TX 75077, NUMBER OF HOURS PER MONTH DEVOTED TO THE OTHER BUSINESS: 3 NUMBER OF HOURS DEVOTED TO THE OTHER BUSINESS DURING TRADING HOURS:2 START DATE: 11/1999 DESCRIPTION: MARKET FIXED AND FIXED INDEXED ANNUITIES TO 403B & 457 MARKET. (2) ALLIANCE WEALTH MANAGEMENT LLC, POSITION: PRESIDENT, IAR. NATURE: INVESTMENT ADVICE, INVESTMENT RELATED: YES, ADDRESS: 900 Excalibur Drive, Highland Village, TX 75077, NUMBER OF HOURS PER MONTH DEVOTED TO THE OTHER BUSINESS: 32, NUMBER OF HOURS DEVOTED TO THE OTHER BUSINESS DURING TRADING HOURS: 20, SHANNON SCOTT CARSON IS THE SOLE OWNER. MR. CARSON OWNS AND HAS THE DUTIES OF MANAGING THE GENERAL OPERATIONS OF THE FIRM AND THE MANAGEMENT OF CLIENT ACCOUNTS. START DATE: 01/2010 DESCRIPTION: MANAGE THE FINANCIAL AFFAIRS OF FAMILIES IN TEXAS.(3) Carson Roofing, 3817 Skyline Dr, Plano, TX 75025, Sales, Annual Compensation $6k-18k, Non Investment Related, 4-8 HPM, 5-10 HPM during trading, Sale of new roofs to home owners.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-02-01 |
| S63 | Uniform Securities Agent State Law Examination | 1998-11-19 |
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