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Thomas C. Altfillisch

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CRD#: 1098527
TA

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Craig Altfillisch was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 000, Series 27, Series 4, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 14, 2004 - May 13, 2019

MODERN CAPITAL SECURITIES INC.

RIA
CRD#: 130876
PLEASANT VIEW, TN
Past

July 7, 2004 - October 15, 2020

MODERN CAPITAL SECURITIES INC.

BD
CRD#: 130876
PLEASANT VIEW, TN
Past

November 30, 1998 - September 15, 2004

SENTRA SECURITIES CORPORATION

RIA
CRD#: 10249
CARLSBAD, CA
Past

November 16, 1998 - September 15, 2004

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

August 1, 1990 - September 28, 1990

HOLFORD SECURITIES (U.S.), INC.

BD
CRD#: 25120
Past

June 14, 1988 - November 16, 1998

UNITED PACIFIC SECURITIES, INC.

BD
CRD#: 21986
CARLSBAD, CA
Past

October 8, 1986 - May 19, 1988

GRANITE CAPITAL

BD
CRD#: 15219
Past

May 9, 1985 - October 13, 1986

WALL STREET WEST, INC.

BD
CRD#: 7529
Past

February 24, 1983 - May 6, 1985

CROWELL, WEEDON & CO.

BD
CRD#: 193

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/12/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/6/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 000
Date: 11/11/1971
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/25/1988
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/19/1985
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/23/1985
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/4/1985
General Securities Principal Examination

Current Firm

MC
MODERN CAPITAL SECURITIES INC.
MODERN CAPITAL SECURITIES INC. | WESTERN EQUITY GROUP, INC.

CRD#: 130876 / SEC#: , 8-66403

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
7780 Brier Creek Parkway Suite 325, Pleasant View, TN 37146
Mailing Address
7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617
Phone number
(919) 302-9855
Established
California since 01/22/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MODERN CAPITAL, INCOWNER
ATKINS, BRADLEY DALEOWNER2963790
SHANAHAN, DANIEL JAMESCEO, PRESIDENT, CCO3277912
WOODWARD, CASSANDRA TALEENCFO, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER,2956369

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MODERN CAPITAL SECURITIES INC.

CRD#: 130876

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