Ronie (. Drori

MODERN CAPITAL ADVISORS

Rocklin, CA

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CRD#: 2059510

Professional summary

Ronie (none) Drori, CFP®, who also goes by Ron Drori, Ronie Drori, is a registered financial advisor currently at MODERN CAPITAL ADVISORS, LLC located in Rocklin, California and MODERN CAPITAL SECURITIES INC. located in Raleigh, North Carolina.

Ronie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Ronie has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ron Drori | Ronie Drori

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) - RIA

Click below to view Ronie (none) Drori'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®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Current

January 21, 2022 - Present

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

Rocklin, CA

Current

September 13, 2004 - Present

MODERN CAPITAL SECURITIES INC.

Office #1: 7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617

CRD#: 130876

Raleigh, NC

Past

September 9, 2020 - December 31, 2021

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

Lincoln, CA

Past

September 23, 2015 - May 13, 2019

MODERN CAPITAL SECURITIES INC.

RIA

CRD#: 130876

PLEASANT VIEW, TN

Past

November 16, 1998 - September 15, 2004

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

May 8, 1997 - November 16, 1998

UNITED PACIFIC SECURITIES, INC.

CRD#: 21986

CARLSBAD, CA

Past

April 15, 1996 - April 24, 1997

LAGUNA SECURITIES, INC.

CRD#: 37547

NEWPORT BEACH, CA

Past

March 12, 1996 - April 10, 1996

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

August 1, 1995 - February 21, 1996

LAGUNA SECURITIES, INC.

CRD#: 37547

NEWPORT BEACH, CA

Past

March 12, 1991 - August 1, 1995

WEALTH RESOURCE CAPITAL CORPORATION

CRD#: 10367

NEWPORT BEACH, CA

Past

May 23, 1990 - March 5, 1991

UNITED PACIFIC SECURITIES, INC.

CRD#: 21986

CARLSBAD, CA

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(1/4/2019)

IAR

California
(1/21/2022)

Colorado
(11/30/2009)

Florida
(8/20/2007)

Indiana
(9/24/2019)

Mississippi
(1/11/2012)

Nevada
(9/26/2005)

New York
(5/8/2021)

North Carolina
(6/1/2023)

Oregon
(2/25/2019)

Pennsylvania
(8/23/2022)

Tennessee
(1/18/2023)

Texas
(2/25/2019)

Washington
(3/18/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/19/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/25/1997

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: 5/18/1990

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (37 States and Territories)

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 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.

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Firm Stability Insights

Ronie (. Drori

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronie (none) Drori's CRS (Customer Relationship Summary).

Certified licenses

Experience

MODERN CAPITAL SECURITIES INC.

MODERN CAPITAL ADVISORS, LLC

MODERN CAPITAL SECURITIES INC.

SENTRA SECURITIES CORPORATION

UNITED PACIFIC SECURITIES, INC.

LAGUNA SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

LAGUNA SECURITIES, INC.

WEALTH RESOURCE CAPITAL CORPORATION

UNITED PACIFIC SECURITIES, INC.

Primary Firm SEC Registration

MODERN CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/2015

Series 63

Date: 6/25/1997

SIE

Date: 10/1/2018

Series 7

Date: 5/18/1990

FINRA

Current Firm

MODERN CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MODERN CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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