Scott Andrew Wertheim

Employer firm

Captrust CRD 175112

$1.24T regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Captrust

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2020-09-23
TX	RA	APPROVED_RES	2019-06-19
PA	RA	APPROVED	2015-04-09

NJ RA
APPROVED

Since 2020-09-23
TX RA
APPROVED_RES

Since 2019-06-19
PA RA
APPROVED

Since 2015-04-09

Branch Locations

Livingston, NJ • United States

724 West Lancaster Avenue Suite 210, Wayne, PA 19087 • United States

Disclosures

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.

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

Employment History

Organization	City	State	From	To
Capfinancial Securities Llc	Raleigh	NC	05/2007	06/2025
Capfinancial Partners Llc (Captrust)	Raleigh	NC	04/2015	Present

05/2007 → 06/2025

Capfinancial Securities Llc

Raleigh, NC
04/2015 → Present

Capfinancial Partners Llc (Captrust)

Raleigh, NC

Previous Registrations

2007-09-26 → 2015-04-09

Capfinancial Securities, Llc.

Raleigh, NC

Doylestown, PA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-10-18
S63	Uniform Securities Agent State Law Examination	1995-11-06

S65 Uniform Investment Adviser Law Examination

2008-10-18
S63 Uniform Securities Agent State Law Examination

1995-11-06

Other Names

Scott Andrew Wertheim

View on SEC IAPD