Brodie Dean Barnes

Current Employers

Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-07-31
NC	RA	APPROVED	2018-01-03
UT	RA	APPROVED	2018-01-02

TX RA
APPROVED_RES

Since 2018-07-31
NC RA
APPROVED

Since 2018-01-03
UT RA
APPROVED

Since 2018-01-02

Branch Locations

13961 S. Minuteman Drive Suite 300, Salt Lake City, UT 84020 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Knox Capital Advisors Llc	Draper	UT	12/2005	12/2018
Kcg Securities, Llc	Draper	UT	05/2009	02/2019
Capfinancial Partners Llc (Captrust)	Raleigh	NC	12/2017	Present
Capfinancial Securities Llc	Raleigh	NC	03/2018	Present

12/2005 → 12/2018

Knox Capital Advisors Llc

Draper, UT
05/2009 → 02/2019

Kcg Securities, Llc

Draper, UT
12/2017 → Present

Capfinancial Partners Llc (Captrust)

Raleigh, NC
03/2018 → Present

Capfinancial Securities Llc

Raleigh, NC

Previous Registrations

2006-01-26 → 2018-12-18

Knox Capital Advisors, Llc

Draper, UT
2004-03-09 → 2006-01-24

M Holdings Securities, Inc.

Draper, UT
2000-01-19 → 2004-03-08

Osaic Fa, Inc.

Salt Lake City, UT

Other Businesses

1.BROKAR INVESTMENTS LLC - MANAGING MEMBER FOR VARIOUS FAMILY INVESTMENTS A. CRIMSON HOLDINGS, LLC - HOLDING COMPANY OF KNOX CAPITAL INSURANCE, LLC.. B.SUMMIT HOLDINGS LLC - OWNER/MANAGER OF ENTITY FOR PASSIVE INVESTMENT C.MISCELLANEOUS OTHER INVESTMENTS 2.BKBK HOLDINGS, LLC - MANAGING MEMBER FOR VARIOUS FAMILY INVESTMENTS 3. EP Tax, Inc; Specialized tax consulting; minority owner; Start 2/1/2024; 0 hours; no day to day involvement.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-07-28
S63	Uniform Securities Agent State Law Examination	1993-07-08

S65 Uniform Investment Adviser Law Examination

1995-07-28
S63 Uniform Securities Agent State Law Examination

1993-07-08

Designations

View on SEC IAPD