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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2022-08-19 |
| TX | RA | APPROVED | 2022-08-19 |
Branch Locations
1625 N. Waterfront Pkwy., Ste 150, Wichita, KS 67206 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Wichita | KS | 07/2013 | 08/2017 |
| Frontier Wealth Management Llc | Kansas City | MO | 08/2017 | 07/2022 |
| Purshe Kaplan Sterling Investments, Inc | Albany | NY | 08/2017 | 07/2022 |
| Capfinancial Partners, Llc (Captrust) | Raleigh | NC | 07/2022 | Present |
| Capfinancial Securities Llc | Raleigh | NC | 07/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 2004-12-20 |
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