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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-04 |
Branch Locations
4372 N. Loop 1604W, Suite 116, San Antonio, TX 78249 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Thornton | CO | 11/2010 | 07/2021 |
| Wells Fargo Advisors Llc | Thornton | CO | 01/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Thornton | CO | 11/2016 | 07/2021 |
| Morgan Stanley | San Antonio | TX | 10/2021 | 11/2022 |
| Capfinancial Securities Llc | Raleigh | NC | 11/2022 | Present |
| Capfinancial Partners Llc (Captrust) | Raleigh | NC | 11/2022 | Present |
Young Living; Investment related No; Lehi, Utah; Essential Oils; member (proprietor, partner, officer, director, employee, trustee, agent); 06/2020; During business hours: 0; After business hours: 1;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-10-05 |
| S63 | Uniform Securities Agent State Law Examination | 2013-03-12 |
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