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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2020-05-06 |
Branch Locations
3100 Village Point Ste 200, Chesterton, IN 46304 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Chicago | IL | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Chicago | IL | 11/2016 | 03/2017 |
| First Allied Securities | San Diego | CA | 03/2017 | 05/2020 |
| Capfinancial Partners Llc (Captrust) | Raleigh | NC | 05/2020 | Present |
| Capfinancial Securities Llc | Raleigh | NC | 05/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-08-17 |
| S63 | Uniform Securities Agent State Law Examination | 1991-03-14 |
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