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DJ

Dennis M. Jordan

MODERN CAPITAL SECURITIES
Raleigh, NC 27617
Some features on this profile are disabled
CRD#: 1332980
DJ

Professional summary

Dennis Mark Jordan, who also goes by Dennis Jordan, is a registered financial professional currently at MODERN CAPITAL SECURITIES INC. located in Raleigh, North Carolina.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 1985. Dennis has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dennis Jordan

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) - BD

Click below to view Dennis Mark Jordan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 4, 2025 - Present

MODERN CAPITAL SECURITIES INC.

Office #1: 7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617
BD
CRD#: 130876
Raleigh, NC
Past

July 1, 2014 - October 31, 2025

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
RALEIGH, NC
Past

June 7, 2013 - April 17, 2014

EQUITY SERVICES, INC.

BD
CRD#: 265
NEW YORK, NY
Past

November 9, 2010 - February 12, 2013

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
NEW YORK, NY
Past

July 9, 2002 - October 4, 2010

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

September 21, 2000 - January 29, 2002

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

August 21, 1996 - October 3, 2000

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

February 1, 1995 - August 21, 1996

FISERV INVESTOR SERVICES, INC.

BD
CRD#: 34637
HOUSTON, TX
Past

May 10, 1993 - February 1, 1995

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

April 22, 1992 - May 11, 1993

LEGEND CAPITAL CORPORATION

BD
CRD#: 4149
PALM BEACH GARDENS, FL
Past

November 2, 1990 - August 5, 1991

CITICORP FINANCIAL SERVICES,INC.

BD
CRD#: 14675
Past

November 30, 1989 - November 6, 1990

FINANCIAL HORIZONS SECURITIES CORPORATION

BD
CRD#: 20221
Past

March 2, 1988 - November 30, 1989

BUTTONWOOD SECURITIES, INC.

BD
CRD#: 18420
NEW YORK, NY
Past

March 8, 1985 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
Past

March 8, 1985 - December 7, 1987

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(12/4/2025)
RR
Illinois
(12/5/2025)
RR
New Jersey
(12/4/2025)
RR
New York
(12/4/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/28/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/11/1985
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: 5/16/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/7/1985
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/19/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 (36 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#: 130876Raleigh, NC 27617

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