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623 E Fort Union Blvd. Suite 101, Salt Lake City, UT 84047 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2021-01-27 |
Branch Locations
West Orange, NJ • United States
623 E Fort Union Blvd. Suite 101, Salt Lake City, UT 84047 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| North Capital Private Securities | Cottonwood Heights | UT | 01/2015 | Present |
North Capital Funds Trust - North Capital Funds Trust is a series trust for North Capital's '40 Act mutual funds. Our affiliated registered investment advisor, North Capital, Inc., is the adviser to the funds. I am the Secretary of the Trust, Co-portfolio manager, and Project Manager for the trust. North Capital Inc. - North Capital, Inc, A Nevada Corp. Co-Located with the member firm. Investment-related. Managing Director and Portfolio Manager. 80 hrs/Mo, 60 hrs during market hours. Trading, investment strategy, and asset management. 25 hours per week, investment related. North Capital Investment Technology Inc.-NCIT - North Capital Investment Technology Inc. (NCIT) Co-located with the member firm. Not investment-related. Managing Director. DE corp. Hold certain intellectual property assets of North Capital Group Companies along with Common Equity of North Capital Private Securities Corp. 160 Hrs/Mo. Including subsidiaries (including registrant NCPS); 100 during Market Hours. 40 hours per week, investment related. North Capital Administrator Services - North Capital Administrator Services-Wholly-owned subsidiary of NCIT. Investment related. Provides administrative services to clients. 1 hour per week, investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 2015-01-21 |
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