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Current Employers
Peachcap Tax & Advisory, Llc

550 Pharr Rd. Suite 700, Atlanta, GA 30305 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2016-12-09
TX RA APPROVED_RES 2016-11-29
  • GA RA
    APPROVED
    Since 2016-12-09
  • TX RA
    APPROVED_RES
    Since 2016-11-29

Branch Locations

550 Pharr Rd. Suite 700, Atlanta, GA 30305 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Financial Network Llc Atlanta GA 05/2009 11/2016
Peachcap Securities, Inc. Atlanta GA 11/2016 Present
Peachcap Tax & Advisory, Llc Atlanta GA 11/2016 Present
Previous Registrations
Other Businesses

Name of Business: West Mitchell CME Church Investment Related: No Address: 560 MLK Jr Drive, Atlanta, GA, 30314 Nature of Business: Church/Religious Organization Position/Title: Treasurer Start Date: 8/10/2008 Number of Hours Per Month: > 10 Hours Number of Hours During Trading Hours: 0 Describe: Responsible for processing weekly deposits and balancing church bank accounts

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-04-30
S63 Uniform Securities Agent State Law Examination 1986-10-08
  • S65 Uniform Investment Adviser Law Examination
    2002-04-30
  • S63 Uniform Securities Agent State Law Examination
    1986-10-08
Other Names
  • Karen Holt
  • Karen Dale Elder

View on SEC IAPD

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