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564 North Sunrise Avenue, Roseville, CA 95661 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-04-03 |
| CA | RA | APPROVED | 2009-09-02 |
Branch Locations
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 |
|---|---|---|---|---|
| Purshe Kaplan Sterling Investments | Albany | NY | 09/2009 | Present |
| Capital Investment Management, Llc, Dba The Sullivan Group | Laguna Niguel | CA | 09/2009 | Present |
1) Capital Investment Management, LLC - Insurance. Not Investment Related. At registered location. Insurance. Principal. 12/2017. 5-10 Hrs/Mo; All During Trading Hours. Selling Various Insurance Products including Fixed, Structured Products, health insurance, etc. 2) Fixed Insurance (Producers Choice Network). Not Investment Related. At registered location. Insurance Sales. Advisor. 11/2019. 10 Hrs/Mo; All During Trading Hours. Insurance Sales. 3) Professional Pilot Services, LLC. Not Investment Related. Home Based. Pilot Services. Pilot. Start 2/8/2023. 15 hours per week during non-trading hours. Providing professional pilot services on an ad-hoc occasional basis. 4) Rental Properties. Not Investment Related. At Registered Branch office location; Rental Properties. Owner. 4/1/2024. 4 hrs/month with 0 during trading hrs. Manage passive real estate properties.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-12 |
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