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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2017-05-16 |
| MN | RA | APPROVED | 2013-11-07 |
Branch Locations
2766 Commerce Drive Nw Suite B, Rochester, MN 55901 • United States
2711 Middleburg Dr Suite 105, Columbia, SC 29204 • United States
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 |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 05/2008 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 05/2008 | Present |
WHITECAP FINANCIAL LLC(Owner) 2766 COMMERCE DR. NW SUITE B, ROCHESTER, MN 55901, 12/06/2016, 1HR/MO; DBA: FALCON FINANCIALGROUP LLC; CAROLINA FINANCIAL ADVISORS LLC (Partner) 2711 Middleburg Dr Suite 105 Columbia, SC 29204, 03/18/2018, 1HR/MO: FALCON REAL ESTATE, LLC, 2766 Commerce Dr. NW Suite B, Rochester, MN 55901, OWNER, SOLE OWNER OFTHE NEW LLC, 03/26/2025, 0 HRS/MO; 0 COLE TRESLE RD BLAIR, SC 29015, OWNER OF 54 ACRES OF LAND GROWING TREES, OWNER OF LAND FOR HUNTING USE, 11/01/2024, 2HRS/MO.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-07-16 |
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