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Andrew James Shimp

Captrust

West Des Moines, IA

CRD 4630386

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Employer firm

Captrust CRD 175112

$1.24T regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Captrust

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2015-04-09
  • IA RA
    APPROVED
    Since 2015-04-09

Branch Locations

5745 Raccoon River Drive Suite 160, West Des Moines, IA 50266 • 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 Securities Llc Raleigh NC 12/2010 Present
Capfinancial Partners Llc (Captrust) Raleigh NC 04/2015 Present
  • 12/2010 → Present
    Capfinancial Securities Llc
    Raleigh, NC
  • 04/2015 → Present
    Capfinancial Partners Llc (Captrust)
    Raleigh, NC
Previous Registrations
  • 2006-09-15 → 2010-12-17
    Securian Financial Services, Inc.
    Wes Des Moines, IA
    West Des Moines, IA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-08-08
S63 Uniform Securities Agent State Law Examination 2004-04-12
  • S65 Uniform Investment Adviser Law Examination
    2006-08-08
  • S63 Uniform Securities Agent State Law Examination
    2004-04-12

View on SEC IAPD

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