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Fort Collins, CO • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-09-15 |
| CO | RA | APPROVED | 2024-06-17 |
| IA | RA | APPROVED | 2024-05-13 |
| AZ | RA | APPROVED | 2021-09-08 |
| NE | RA | APPROVED | 2021-03-03 |
| TX | RA | APPROVED_RES | 2013-01-09 |
| CA | RA | APPROVED | 2010-11-19 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capstone Pacific Investment Strategies | Covina | CA | 10/2010 | Present |
TRAIL COMMISSIONS FROM VARIOUS INSURANCE COMPANIES FROM NON-SECURITIES RELATED BUSINESS. LESS THAN ONE HOUR TIME PER MONTH AND NO TIME DURING TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-28 |
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