Lorry A. Desantis

CAPFINANCIAL SECURITIES.

Raleigh, NC 27609

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CRD#: 2974765

Professional summary

Lorry Anne Desantis is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Raleigh, North Carolina.

Lorry is registered as a RR (Registered Representative) and started their career in finance in 1999. Lorry has worked at 7 firms and has passed the 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 Lorry Anne Desantis'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 9, 2018 - Present

CAPFINANCIAL SECURITIES, LLC.

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

CRD#: 126291

Raleigh, NC

Past

July 18, 2017 - October 26, 2017

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

RALEIGH, NC

Past

April 18, 2016 - September 26, 2016

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

Raleigh, NC

Past

June 25, 2012 - February 2, 2015

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

RALEIGH, NC

Past

May 11, 2010 - March 2, 2011

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

April 21, 2010 - May 7, 2010

CW SECURITIES, LLC

CRD#: 124496

DURHAM, NC

Past

March 12, 2002 - June 1, 2006

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

March 16, 1999 - September 24, 2001

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

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
(7/11/2018)

Exams

State Security Law Exam

Series 63

Date: 5/20/2010

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: 12/26/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/20/2010

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.

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Lorry A. Desantis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lorry Anne Desantis's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPERA FINANCIAL SERVICES, INC.

CONCORDE INVESTMENT SERVICES, LLC

PROSPERA FINANCIAL SERVICES, INC.

COREBRIDGE CAPITAL SERVICES, INC.

CW SECURITIES, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

MFS FUND DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/20/2010

SIE

Date: 10/1/2018

Series 7

Date: 12/26/2014

Series 6

Date: 4/20/2010

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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