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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-07-18 |
| CA | RA | APPROVED | 2021-01-25 |
Branch Locations
740 University Avenue, Sacramento, CA 95825 • United States
1410 Rocky Ridge Drive, Suite 150, Roseville, CA 95661 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services Llc | Roseville | CA | 05/2006 | 06/2020 |
| Fidelity Personal And Workplace Advisors | Boston | MA | 07/2018 | 06/2020 |
| Royal Alliance Associates, Inc. | Roseville | CA | 06/2020 | 01/2021 |
| Capfinancial Partners Llc (Captrust) | Raleigh | NC | 01/2021 | Present |
| Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, Llc | Sacramento | CA | 06/2020 | 01/2021 |
| Capfinancial Securities Llc | Raleigh | NC | 01/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-29 |
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