Salle D. Conlin

CAPFINANCIAL SECURITIES.

Greenville, SC 29601

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CRD#: 2013023

Professional summary

Salle Dee Conlin, who also goes by Salle Dee Altemeyer, Salle Dee Mcvaugh, Salle Mcvaugh, is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Greenville, South Carolina.

Salle is registered as a RR (Registered Representative) and started their career in finance in 2002. Salle has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Salle Dee Altemeyer | Salle Dee Mcvaugh | Salle Mcvaugh

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 Salle Dee Conlin'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

July 16, 2021 - Present

CAPFINANCIAL SECURITIES, LLC.

Office #1: 1116 South Main Street, Greenville, SC 29601

CRD#: 126291

Greenville, SC

Past

May 1, 2018 - August 30, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Greenville, SC

Past

July 20, 2009 - May 1, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

GREENVILLE, SC

Past

June 1, 2009 - August 14, 2009

MORGAN STANLEY

CRD#: 149777

GREENVILLE, SC

Past

June 29, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

GREENVILLE, SC

Past

July 28, 2006 - June 26, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

GREENVILE, SC

Past

February 4, 2002 - December 19, 2005

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

State Registrations and Notice Filings

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

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

South Carolina
(7/16/2021)

Exams

State Security Law Exam

Series 63

Date: 5/4/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/2/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291 / SEC#: , 8-65870

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

4208 Six Forks Road, Suite 1700, Raleigh, NC 27609

Mailing Address

4208 Six Forks Road, Suite 1700, Raleigh, NC 27609

Phone number

(919) 870-6822

Established

North Carolina since 11/21/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

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

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Salle D. Conlin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Salle Dee Conlin's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

RBC CAPITAL MARKETS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/4/2002

SIE

Date: 10/1/2018

Series 7

Date: 2/2/2002

FINRA

Current Firm

CAPFINANCIAL SECURITIES, LLC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPFINANCIAL SECURITIES, LLC.

TRUST BUT VERIFY

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