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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 | 2019-06-13 |
| CA | RA | APPROVED | 2019-02-05 |
Branch Locations
1055 East Colorado Boulevard Suite 200, Pasadena, CA 91106 • United States
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 |
|---|---|---|---|---|
| Watermark Asset Management | San Ramon | CA | 12/2014 | 12/2018 |
| Capfinancial Partners Llc (Captrust) | Raleigh | NC | 12/2018 | Present |
1. Boys & Girls Club; not investment related; Burbank CA; Start date 3/24/24; 1 hour per month, 0 during trading; participate in fund raising and finance committee work. 2. Neighborhood Music School; not investment related; 25 S. 1st Ave, Arcadia CA; School Board; Start date: 1/1/23; .5 hours per month, 0 during trading; Board meetings
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 1984-02-07 |
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