Craig M. Foerch
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.
Craig Marshal Foerch, who also goes by Craig M. Foerch, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1985. Craig had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2013 - June 11, 2013
CAPFINANCIAL SECURITIES, LLC.
September 14, 2010 - January 31, 2013
FREEDOM ONE INVESTMENT ADVISORS, INC.
May 12, 2005 - October 26, 2009
FB EQUITY SALES CORPORATION OF MICHIGAN
January 2, 2003 - July 23, 2003
MUTUAL SERVICE CORPORATION
January 23, 2001 - January 3, 2003
FSC SECURITIES CORPORATION
March 18, 1994 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 18, 1994 - September 21, 2000
EQUITABLE ADVISORS, LLC
January 26, 1988 - August 25, 1989
PRINCIPAL SECURITIES, INC.
November 19, 1985 - February 3, 1988
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPFINANCIAL SECURITIES, LLC.
CRD#: 126291 / SEC#: , 8-65870
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | |
| BUCHANAN, DENISE MCGEE | CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO | 1284353 |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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