Kevin T. Fieldman

CAPFINANCIAL SECURITIES.

Raleigh, NC 27609

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CRD#: 2188446

Professional summary

Kevin Thomas Fieldman is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Raleigh, North Carolina.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1991. Kevin has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Kevin Thomas Fieldman'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 28, 2015 - Present

CAPFINANCIAL SECURITIES, LLC.

Office #1: 4208 Six Forks Road #1700, Raleigh, NC 27609

CRD#: 126291

Raleigh, NC

Past

April 4, 2011 - March 4, 2015

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

CHICAGO, IL

Past

November 9, 2007 - March 4, 2011

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

ITASCA, IL

Past

June 24, 2003 - August 2, 2007

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHICAGO, IL

Past

January 3, 2003 - June 19, 2003

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

OAKBOOK, IL

Past

November 6, 2002 - June 19, 2003

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

February 1, 1995 - November 27, 2002

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

November 3, 1993 - February 1, 1995

KEMPER FINANCIAL SERVICES, INC.

CRD#: 798

Past

December 3, 1991 - June 4, 1993

SELECTED FINANCIAL SERVICES, INC.

CRD#: 29242

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

North Carolina
(7/28/2015)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/15/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/7/1991

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: 12/7/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/4/1991

Investment Company Products/Variable Contracts 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.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Kevin T. Fieldman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Thomas Fieldman's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA INVESTORS SECURITIES, LLC

KESTRA INVESTMENT SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

DWS DISTRIBUTORS, INC.

KEMPER FINANCIAL SERVICES, INC.

SELECTED FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/15/2002

Series 63

Date: 11/7/1991

SIE

Date: 10/1/2018

Series 7

Date: 12/7/1993

Series 6

Date: 11/4/1991

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.

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