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AT

Andrew J. Tressler

MODERN CAPITAL SECURITIES
RALEIGH, NC 27617
CRD#: 2776349
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AT
Andrew Jonathan TresslerMODERN CAPITAL SECURITIES

Professional summary

Andrew Jonathan Tressler, who also goes by Andy Tressler, is a registered financial professional currently at MODERN CAPITAL SECURITIES INC. located in Raleigh, North Carolina.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 1997. Andrew has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andy Tressler

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 Andrew Jonathan Tressler'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

March 2, 2026 - Present

MODERN CAPITAL SECURITIES INC.

Office #1: 7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617
BD
CRD#: 130876
RALEIGH, NC
Past

September 8, 2015 - March 4, 2026

TRIDENT PARTNERS LTD.

BD
CRD#: 41258
Holbrook, NY
Past

April 28, 2010 - September 16, 2015

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
HOLBROOK, NY
Past

June 15, 2007 - May 21, 2010

AMERICAN CAPITAL PARTNERS, LLC

BD
CRD#: 119249
FARMINGDALE, NY
Past

August 19, 2002 - June 22, 2007

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
LINDENHURST, NY
Past

January 3, 2002 - August 20, 2002

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

January 28, 1997 - January 4, 2002

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(3/2/2026)
RR
Connecticut
(3/2/2026)
RR
Indiana
(3/2/2026)
RR
Louisiana
(3/2/2026)
RR
Minnesota
(3/4/2026)
RR
Nevada
(5/5/2026)
RR
New York
(3/2/2026)
RR
North Carolina
(3/24/2026)
RR
Ohio
(3/18/2026)
RR
Oklahoma
(3/4/2026)
RR
Pennsylvania
(3/2/2026)
RR
Puerto Rico
(3/2/2026)
RR
South Carolina
(3/4/2026)
RR
South Dakota
(3/19/2026)
RR
Texas
(3/2/2026)
RR
Utah
(3/30/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/1996
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 7
Date: 10/12/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MODERN CAPITAL SECURITIES INC.
MODERN CAPITAL SECURITIES INC. | WESTERN EQUITY GROUP, INC.

CRD#: 130876 / SEC#: , 8-66403

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

Main Address
7780 Brier Creek Parkway Suite 325, Pleasant View, TN 37146
Mailing Address
7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617
Phone number
(919) 302-9855
Established
California since 01/22/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (36 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MODERN CAPITAL, INCOWNER
ATKINS, BRADLEY DALEOWNER2963790
SHANAHAN, DANIEL JAMESCEO, PRESIDENT, CCO3277912
WOODWARD, CASSANDRA TALEENCFO, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER,2956369

Disclosures

Regulatory Event1

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 SECURITIES INC.

CRD#: 130876Raleigh, NC 27617

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