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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2015-04-22 |
Branch Locations
4201 Congress St. Ste 160, Charlotte, NC 28209 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Capfinancial Securities Llc | Raleigh | NC | 10/2009 | Present |
| Capfinancial Partners Llc (Captrust) | Raleigh | NC | 10/2009 | Present |
1) RANDOLPH LAUREL LLC, ADDRESS: PRIVATE RESIDENCE, LLC OWNS OFFICE BUILDING AT 2333 RANDOLPH RD., ROLE: LIMITED PARTNER, SINCE 2000, 3-5 HOURS PER YEAR, NO DUTIES 2) CAROLINA NEUROSURGERY AND SPINE EDUCATION AND RESEARCH FOUNDATION, INVESTMENT-RELATED: NO, ADDRESS: 225 BALDWIN AVENUE, CHARLOTTE NC 28204, NATURE: 501C3 FOUNDATION PROVIDES RESEARCH GRANTS AND MEDICAL RELIEF GRANTS, POSITION/TITLE: OUTSIDE BOARD MEMBER, START: 04/11/2017, HOURS/MONTH: 1 HOUR, HOURS DURING MARKET HOURS: NONE, DUTIES: REVIEW AND APPROVE GRANT APPLICATIONS ALONGSIDE THE MEDICAL TEAM 4) Augustine Literacy Project; Investment-Related: No; 115 West 7th St, Charlotte, NC; Literacy nonprofit ; Board Chairman ; Start; 7/1/23 ; Hours/Month:5 ; Hours during Market Hours: 4; Duties: Board Duties
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-06-19 |
| S63 | Uniform Securities Agent State Law Examination | 1984-02-22 |
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