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Captrust CRD 175112
$1.24T regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-11-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Woodland Hills | CA | 04/2015 | 10/2017 |
| Financial Partners | Woodland Hills | CA | 04/2015 | 10/2017 |
| Axa Advisors, Llc | New York | NY | 01/2018 | 02/2020 |
| Capfinancial Partners Llc (Captrust) | Raleigh | NC | 10/2021 | Present |
| Unemployed | Woodland Hills | CA | 03/2020 | 09/2021 |
| Capfinancial Securities Llc | Raleigh | NC | 10/2021 | Present |
Name: Ronald Heath, Investment-Related: No., Address: private residence, Nature: residual insurance commissions, Position/Title: Insurance Agent, Start: 03/01/2018, Hours/Month: 0, Hours during Market Hours: 0, Duties: collect residuals, no new sales
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 1992-06-17 |
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