Kathy D. Woolsey-jones

CAPFINANCIAL SECURITIES.

Sanford, NC 27330

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CRD#: 3113892

Professional summary

Kathy Dee Woolsey-jones, who also goes by Kathleen Dee Jones, Kathleen W Jones, Kathleen Jones, Kathy W Jones, Kathy Jones, Kathleen D Woolsey-jones, Kathy Woolsey-jones, is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Sanford, North Carolina.

Kathy is registered as a RR (Registered Representative) and started their career in finance in 2001. Kathy has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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 Kathy Dee Woolsey-jones'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

November 6, 2023 - Present

CAPFINANCIAL SECURITIES, LLC.

Office #1: 603 Carthage Street, Suite 210, Sanford, NC 27330

CRD#: 126291

Sanford, NC

Past

October 18, 2017 - October 31, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Sanford, NC

Past

October 16, 2015 - October 25, 2017

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

SANFORD, NC

Past

October 16, 2015 - October 25, 2017

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

SANFORD, NC

Past

December 7, 2011 - October 16, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SANFORD, NC

Past

June 15, 2002 - October 16, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SANFORD, NC

Past

January 30, 2001 - June 15, 2002

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

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
(11/6/2023)

Exams

State Security Law Exam

Series 63

Date: 2/20/2001

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: 1/29/2001

General Securities 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

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Kathy D. Woolsey-jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kathy Dee Woolsey-jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WACHOVIA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/20/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/29/2001

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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