Sonja L. Rath

CAPFINANCIAL SECURITIES.

Roseville, CA 95661

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CRD#: 2543537

Professional summary

Sonja Louise Rath, who also goes by Sonja Erickson, Sonja Mccabe, is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Roseville, California.

Sonja is registered as a RR (Registered Representative) and started their career in finance in 1995. Sonja has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sonja Erickson | Sonja Mccabe

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 Sonja Louise Rath'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

January 31, 2021 - Present

CAPFINANCIAL SECURITIES, LLC.

Office #1: 1410 Rocky Ridge Drive, Suite 150, Roseville, CA 95661Office #2: 740 University Avenue, Sacramento, CA 95825

CRD#: 126291

Roseville, CA

Past

March 2, 2017 - February 16, 2021

OSAIC WEALTH, INC.

CRD#: 23131

SACRAMENTO, CA

Past

September 1, 2015 - April 5, 2016

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

RANCHO CORDOVA, CA

Past

November 8, 2006 - April 5, 2016

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

RANCHO CORDOVA, CA

Past

March 16, 1995 - October 31, 2001

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

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

California
(1/31/2021)

Exams

State Security Law Exam

Series 63

Date: 2/8/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/3/2006

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/6/2007

Investment Company Products/Variable Contracts Principal 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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Sonja L. Rath

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sonja Louise Rath's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/8/2007

SIE

Date: 10/1/2018

Series 6

Date: 8/3/2006

Series 26

Date: 9/6/2007

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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