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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-01-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Moss Adams Securities & Insurance Llc | Rancho Cordova | CA | 01/2014 | 07/2018 |
| Moss Adams Wealth Advisors Llc | Rancho Cordova | CA | 01/2014 | 07/2018 |
| Royal Alliance | Sacramento | CA | 07/2018 | 01/2021 |
| Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, Llc | Sacramento | CA | 06/2018 | 01/2021 |
| Capfinancial Partners Llc (Captrust) | Raleigh | NC | 01/2021 | Present |
| Capfinancial Securities Llc | Raleigh | NC | 01/2021 | Present |
YMCA OF SUPERIOR CALIFORNIA FOUNDATION POSITION: Board Member NATURE: Charitable Foundation INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2015 ADDRESS: 1926 V Street, Sacramento CA 95818, United States DESCRIPTION: Help evaluate annual distributions to the supported charity.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2010-10-08 |
| S65 | Uniform Investment Adviser Law Examination | 2006-05-26 |
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