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623 E Fort Union Blvd. Suite 101, Salt Lake City, UT 84047 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2024-12-23 |
Branch Locations
623 E Fort Union Blvd. Suite 101, Salt Lake City, UT 84047 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| North Capital Private Securities | Fresno | CA | 04/2014 | Present |
TutuList - online website to sell dance costumes, 2-4 hours per week, not investment-related West Point Ballet Academy - Choreography - independent contractor, 10-20 hours per year, not investment related North Capital Investment Technology NCIT. NORTH CAPITAL INVESTMENT TECHNOLOGY INC. (NCIT) CO-LOCATED WITH THE MEMBER FIRM. . NOT INVESTMENT-RELATED. COO, affiliate and parent company of NCPS. I oversee business development and technology development.. HOLDS CERTAIN INTELLECTUAL PROPERTY ASSETS OF NORTH CAPITAL GROUP COMPANIES ALONG WITH THE COMMON EQUITY OF NORTH CAPITAL PRIVATE SECURITIES CORP. 40 HOURS/Wk. INCLUDING SUBSIDIARIES (INCLUDING THE REGISTRANT, NCPS); 100 DURING MARKET HOURS. Consulting - sole proprietor. Help a few small businesses of friends with reviewing business plan, get advice on how to scale, or reviewing work. No companies are in financial services (ballet studios, ballet companies, woodworking, etc.) Work outside of NC hours - on weekends and on rare occasions, evenings. 10 hrs/wk. North Capital Trust Company - Perform business development functions for the trust company on an opportunistic basis. 5 hrs/week.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 2014-08-08 |
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