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JP

John T. Pineman

MODERN CAPITAL SECURITIES
Raleigh, NC 27617
Some features on this profile are disabled
CRD#: 1414127
JP

Professional summary

John Thomas Pineman is a registered financial professional currently at MODERN CAPITAL SECURITIES INC. located in Raleigh, North Carolina.

John is registered as a RR (Registered Representative) and started their career in finance in 1985. John has worked at 19 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 8, Series 53, Series 4 and Series 24 exams.

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) - BD

Click below to view John Thomas Pineman'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 17, 2025 - Present

MODERN CAPITAL SECURITIES INC.

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

January 7, 2022 - December 31, 2025

MODERN CAPITAL ADVISORS, LLC

RIA
CRD#: 131117
HIGHLANDS RANCH, CO
Past

August 2, 2012 - December 31, 2021

MODERN CAPITAL ADVISORS, LLC

RIA
CRD#: 131117
HIGHLANDS RANCH, CO
Past

August 2, 2012 - October 31, 2025

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
HIGHLANDS RANCH, CO
Past

March 1, 2012 - August 6, 2012

PINEMAN CAPITAL ADVISORS, INC.

RIA
CRD#: 159886
HIGHLANDS RANCH, CO
Past

January 27, 2010 - August 3, 2012

BROKERSXPRESS LLC

RIA
CRD#: 127081
HIGHLANDS RANCH, CO
Past

January 27, 2010 - August 3, 2012

BROKERSXPRESS LLC

BD
CRD#: 127081
HIGHLANDS RANCH, CO
Past

October 23, 2006 - February 2, 2010

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
GREENWOOD VILLAGE, CO
Past

July 17, 2006 - February 2, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
GREENWOOD VILLAGE, CO
Past

June 21, 2002 - July 18, 2006

TRIPP & CO., INC.

BD
CRD#: 6967
ELMWOOD PARK, NJ
Past

July 3, 2000 - December 8, 2000

MERIT CAPITAL ASSOCIATES, INC.

BD
CRD#: 30576
WESTPORT, CT
Past

February 9, 2000 - June 26, 2000

FIRST SECURITY INVESTMENTS, INC.

BD
CRD#: 24035
KINGSTON, PA
Past

July 31, 1997 - September 13, 1999

THE THERMOPYLAE GROUP, INC.

BD
CRD#: 3059
NEW YORK, NY
Past

September 12, 1996 - August 8, 1997

MILLENNIUM SECURITIES CORP.

BD
CRD#: 31695
NEW YORK, NY
Past

April 9, 1996 - August 30, 1996

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

April 26, 1994 - September 21, 1995

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY
Past

December 17, 1993 - May 10, 1994

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

August 4, 1993 - December 22, 1993

MERIDIAN, DUNHILL & CO., INC.

BD
CRD#: 15294
Past

June 25, 1993 - August 4, 1993

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

May 9, 1991 - June 29, 1993

PRINCETON AMERICAN EQUITIES CORPORATION

BD
CRD#: 14491
PHOENIX, AZ
Past

January 16, 1989 - March 27, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

October 22, 1985 - April 7, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

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
Colorado
(12/17/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/22/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/2/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/7/1991
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 2/9/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 53
Date: 9/23/1997
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/6/1997
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/23/1992
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)
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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 (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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