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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-07-27 |
| NC | RA | APPROVED | 2018-11-02 |
Branch Locations
13777 Ballantyne Corporate Place Suite 550, Charlotte, NC 28277 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| John Hancock | Raleigh | NC | 06/2003 | 11/2018 |
| Osaic Wealth, Inc. | Charlotte | NC | 11/2018 | Present |
1. CAPITOL FINANCIAL SOLUTIONS POSITION: Financial Planner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 150 START DATE: 06/26/2003 ADDRESS: 13777 Ballantyne Corporate Pl, Suite 550, Charlotte NC 28277, United States DESCRIPTION: Capitol Financial Solutions is the name I use to conduct and market my business 2. C. SHANE GURGANUS POSITION: Broker NATURE: Insurance brokerage INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 12 START DATE: 01/01/1800 ADDRESS: 13777 Ballantyne Corporate Pl, Suite 550, Charlotte NC 28277, United States DESCRIPTION: I work with clients and recommended fixed insurance products when it fits their needs.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-10-10 |
| S63 | Uniform Securities Agent State Law Examination | 2004-11-15 |
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