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DB

Don R. Brewington

Some features on this profile are disabled
CRD#: 1716937
DB

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.

Don Raymond Brewington JR., who also goes by Don Ray Brewington Jr, Don Raymond Brewington Jr, Don Raymond Brewington, Don Brewington, was a registered financial professional .

Don is a previously registered financial professional and started their career in finance in 1987. Don had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Don Ray Brewington Jr | Don Raymond Brewington Jr | Don Raymond Brewington | Don Brewington

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

April 14, 2014 - August 1, 2019

MODERN CAPITAL ADVISORS, LLC

RIA
CRD#: 131117
LITTLE ROCK, AR
Past

February 28, 2014 - August 2, 2019

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
RALEIGH, NC
Past

September 8, 2010 - February 1, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
LITTLE ROCK, AR
Past

September 7, 2010 - February 1, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
LITTLE ROCK, AR
Past

August 12, 2009 - May 26, 2010

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
RALEIGH, NC
Past

January 22, 2001 - March 4, 2009

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
LITTLE ROCK, AR
Past

October 27, 2000 - March 4, 2009

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
LITTLE ROCK, AR
Past

July 31, 1993 - October 19, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 6, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

October 5, 1987 - July 25, 1988

WADDELL & REED

BD
CRD#: 866

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MC
MODERN CAPITAL ADVISORS, LLC
LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA
Registered Investment Advisory firm - (7/26/2011 Approved)
Arizona
Registered Investment Advisory firm - (2/2/2012 Terminated)
California
Registered Investment Advisory firm - (3/3/2012 Terminated)
Mississippi
Registered Investment Advisory firm - (2/2/2012 Terminated)
Nevada
Registered Investment Advisory firm - (3/16/2012 Terminated)
Ohio
Registered Investment Advisory firm - (2/2/2012 Terminated)

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
IAR
Series 65
Date: 3/29/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/23/1987
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 3
Date: 10/24/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/2/1987
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MC
MODERN CAPITAL ADVISORS, LLC
LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA
Registered Investment Advisory firm - (7/26/2011 Approved)
Arizona
Registered Investment Advisory firm - (2/2/2012 Terminated)
California
Registered Investment Advisory firm - (3/3/2012 Terminated)
Mississippi
Registered Investment Advisory firm - (2/2/2012 Terminated)
Nevada
Registered Investment Advisory firm - (3/16/2012 Terminated)
Ohio
Registered Investment Advisory firm - (2/2/2012 Terminated)
PREMIUM
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Contact information

Main Address
7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617
Mailing Address
Phone number
(800) 440-0442
Established
Firm type
Fiscal year end
# of Employees
30

SEC notice filing (37 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MODERN CAPITAL ADVISORS ADV 2A (3/29/2024)

Regulatory assets under management

Total Number of Accounts1,561
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.

Company Information

MODERN CAPITAL ADVISORS, LLC

CRD#: 131117

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