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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2015-12-07 |
Branch Locations
1900 State Street Suite D, Santa Barbara, CA 93101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pensionmark Financial Group, Llc | Santa Barbara | CA | 05/2015 | 12/2020 |
| Capfinancial Securities Llc | Raleigh | NC | 05/2015 | Present |
| Capfinancial Partners Llc (Captrust) | Raleigh | NC | 12/2015 | Present |
1) Name: Nebula Dance Lab; Investment-Related: No, Address: Santa Barbara, CA, Founder, President, and Artistic Director for Non-Profit Dance Company, Start Date 5/2010; Approx 24 hours/month; Occasionally during trading hours, but mainly evenings and weekends. 2) Name: Devyn Duex, Investment-Related: No., Address: private residence, Nature: Performer/Model, SAG Card, Position/Title: Performer, Start: 05/03/1999, Hours/Month: 0.5, Hours during Market Hours: 0, Duties: performance art 3) Name: Retirement Advisor Council; Investment-Related: No; Plan Advisor Org ; Member ; Start;1/1/24 ; Hours/Month: 2; Hours during Market Hours: 2; Duties: Attend meetings 4) Name: The National Association of Plan Advisors. Address: https://www.napa-net.org/. Not Investment Related. Nature: Professional Networking. Position/Title: Leadership Council member. Start: 03/31/2023. Hours/Month: 3. Hours during Market Hours: 1, Duties: volunteer
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-12-03 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-04 |
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