Jeffery A. Fanning
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.
Jeffery Allen Fanning was a registered financial professional .
Jeffery is a previously registered financial professional and started their career in finance in 1986. Jeffery had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 28, Series 53, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2011 - March 30, 2017
MODERN CAPITAL ADVISORS, LLC
May 7, 2004 - March 6, 2017
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
January 14, 2004 - May 27, 2004
BANC ONE SECURITIES CORPORATION
November 14, 2002 - September 23, 2003
ANDREW GARRETT INC.
June 10, 2002 - August 15, 2002
ANDREW GARRETT INC.
September 29, 1999 - May 22, 2000
EMMETT A LARKIN COMPANY, INC.
August 21, 1992 - March 17, 1999
ANDREW GARRETT INC.
December 6, 1991 - September 3, 1992
ACUMENT SECURITIES, INC.
December 19, 1988 - December 20, 1991
WILSHIRE DISCOUNT SECURITIES
November 18, 1988 - December 23, 1988
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 8, 1988 - November 18, 1988
ROWLAND, SIMON & CO.
August 1, 1988 - December 20, 1991
WILSHIRE DISCOUNT SECURITIES
November 21, 1986 - August 2, 1988
KENNEDY, CABOT & CO.
Primary Firm SEC Registration
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117 / SEC#: 801-72611
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
Series 28
Date: 7/16/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117 / SEC#: 801-72611
Contact information
SEC notice filing (37 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,561 |
| AUM (Assets Under Management) | $ 285,401,221 |
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.
