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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2022-08-22 |
| TX | RA | APPROVED_RES | 2022-08-19 |
Branch Locations
1625 N. Waterfront Pkwy., Ste 150, Wichita, KS 67206 • 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 |
|---|---|---|---|---|
| Frontier Wealth Management Llc | Wichita | KS | 04/2015 | 07/2020 |
| Purshe Kaplan Sterling Investments | Albany | NY | 04/2015 | 07/2020 |
| Capfinancial Partners, Llc (Captrust) | Raleigh | NC | 07/2022 | Present |
| Capfinancial Securities, Llc | Raleigh | NC | 07/2020 | Present |
1. Steve Clark YMCA; Investment-Related: No; Witchita, KS; Gym ; Board member ; Start;8/18/22 ; Hours/Month: 3; Hours during Market Hours:0 ; Duties: Board meeting attendance
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-08 |
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