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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-03-05 |
Branch Locations
5605 Carnegie Boulevard - Suite 400, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 10/2014 | 12/2022 |
| Northwestern Mutual Investment Services Llc | Charlotte | NC | 06/2015 | 12/2022 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 03/2017 | 12/2022 |
| Carolinas Investment Consulting Llc | Charlotte | NC | 12/2022 | 05/2025 |
| Carolinas Wealth Consulting Llc | Charlotte | NC | 12/2022 | 02/2025 |
| Capfinancial Partners Llc (Captrust) | Raleigh | NC | 01/2025 | Present |
| Capfinancial Securities Llc | Raleigh | NC | 05/2025 | Present |
1) I am 24/7 Ministries; non-investment related; 3544 Burkland Dr Charlotte, NC 28205, Non-profit Christian Ministry; Board Member; 01/01/2018; 2 hours/month; 0 hour/month during trading hours; attend board meetings, general support. 2) Trustee for Estate of (privacy edit), not a client, no compensation 3) Name: Steve Shak, Address: private residence, Not Investment Related, Nature: residual insurance commissions, Position/Title: sole proprietor, Start: 08/01/2014, Hours/Month: 0, Hours during Market Hours: 0, Duties: service
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2015-09-16 |
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