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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2022-11-22 |
| TX | RA | APPROVED | 2022-11-22 |
Branch Locations
5745 Raccoon River Drive, Suite 160, West Des Moine, IA 50266 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 04/2011 | 11/2022 |
| Generations Wealth Management | West Des Moines | IA | 04/2011 | 11/2022 |
| Capfinancial Partners Llc (Captrust) | Raleigh | NC | 11/2022 | Present |
| Capfinancial Securities Llc | Raleigh | NC | 11/2022 | Present |
1. Owner of real estate/farmland properties which are rented to third-party person(s); Located in Ogden, IA; As of 03/01/2019; Approximately less than 1% time spent during securities trading hours per month; Not conducted at branch location; Non-Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-01-13 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-06 |
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