Denise Louise Kowitz

Employer firm

Captrust CRD 175112

$1.24T regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2015-09-15

PA RA
APPROVED

Since 2015-09-15

Branch Locations

Walnutport, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
M Holdings Securities, Inc.	Portland	OR	09/2008	01/2022
Capfinancial Partners, Llc (Captrust)	Raleigh	NC	08/2015	Present
Capfinancial Securities Llc	Raleigh	NC	02/2022	Present

09/2008 → 01/2022

M Holdings Securities, Inc.

Portland, OR
08/2015 → Present

Capfinancial Partners, Llc (Captrust)

Raleigh, NC
02/2022 → Present

Capfinancial Securities Llc

Raleigh, NC

Previous Registrations

2008-11-12 → 2015-12-23

Mfp Strategies

Bethlehem, PA
2007-08-13 → 2008-02-19

Equitable Advisors, Llc

Bethlehem, PA
2004-09-07 → 2005-12-31

Signator Investors, Inc.

Allentown, PA

Allentown, PA

Other Businesses

1) STRATEGIC ADVISOR GROUP; 600 HAMILTON STREET ST 900, ALLENTOWN, PA 18101; 08/2015; VP, OPERATIONS; BRANCH OPERATIONS; INVESTMENT RELATED; 150 HOURS/MONTH; 150 HOURS/MONTH DURING BUSINESS HOURS; OWNERSHIP, WAGES/SALARY/TIPS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-31
S63	Uniform Securities Agent State Law Examination	1988-03-25

S65 Uniform Investment Adviser Law Examination

1999-12-31
S63 Uniform Securities Agent State Law Examination

1988-03-25

Designations

Chartered Financial Consultant

View on SEC IAPD