Shalethia L. Patton
CAPFINANCIAL SECURITIES. | Financial Advisor, Advice & Wellness
Raleigh, NC 27609
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CRD#: 4120101
Professional summary
Shalethia LaShun Patton is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Raleigh, North Carolina.
Shalethia is registered as a RR (Registered Representative) and started their career in finance in 2000. Shalethia has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Biography
Shalethia joined the CAPTRUST team in 2018. She serves as an advice and wellness wealth advisor within the firms Institutional Services Group. Shalethia specializes in working with retirement plan participants and providing wealth management advice for plan sponsors.
She earned a Bachelor of Arts degree in English from Spelman College and a Master of Business Administration degree in management and marketing from Kennesaw State University, Michael J. Coles College of Business.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Shalethia LaShun Patton's 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®
NoneEducation
Kennesaw State University—Michael J. Coles College of Business
MBA - Management and marketing
Spelman College
BA - English
Experience
Current
January 17, 2019 - Present
CAPFINANCIAL SECURITIES, LLC.
Office #1: 4208 Six Forks Road #1700, Raleigh, NC 27609BD
CRD#: 126291
Raleigh, NC
Past
November 15, 2007 - December 3, 2018
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
April 3, 2000 - May 7, 2007
ENTERPRISE FUND DISTRIBUTORS, INC.
BD
CRD#: 883
ATLANTA, GA
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
Georgia(6/13/2022)
RR
North Carolina(1/17/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CAPFINANCIAL SECURITIES, LLC.
CAPFI INSURANCE SERVICES LLC | FREEDOM ONE | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | CFS SECURITIES, LLC | CAPTRUST FINANCIAL ADVISORS OR "CAPTRUST" | CAPTRUST FINANCIAL ADVISORS | CAPTRUST | CAPFINANCIAL SECURITIES, LLC. | CAPFINANCIAL PARTNERS, LLC
CRD#: 126291 / SEC#: , 8-65870
BD
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)
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 | 1 |
Red Flags
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Company Information
CAPFINANCIAL SECURITIES, LLC.
Financial Advisor, Advice & WellnessCRD#: 126291Raleigh, NC 27609TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
