DD
Donald R. Delaria, Jr.
CAPITAL FINANCIAL MANAGEMENT NC,
Fuquay Varina, NC 27526
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CRD#: 4270869
DD
Professional summary
Donald Raymond Delaria, Jr. is a registered financial advisor currently at CAPITAL FINANCIAL MANAGEMENT NC, INC located in Fuquay Varina, North Carolina and GRADIENT INVESTMENTS, LLC located in Fuquay Varina, North Carolina.
Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Donald has worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1). Capital Consulting Group NC; Investment-related; 1000 N. Main Street, Ste. 218 Fuquay Varina, NC 27526; Marketing and sales of insurance products; Owner/President; Start date of 10/2014; Approx 80 hours per month all during securities trading hours; Active in the day to day operations of marketing and sales of insurance products.
2). Capital Financial Management NC; Investment-related; 1000 N. Main Street, Ste. 218 Fuquay Varina, NC 27526; Investment advisory firm (RIA), selling agreement with FormulaFolio Investments; Owner/President/Investment advisor representative; Start date of 10/2014; Approx 80 hours per month all during securities trading hours; Duties included meeting with prospective clients, discussing their concerns and any planning needs they may have. Putting together financial recommendations that may include an investment portfolio that meets goals and risk tolerance.
3). EQIS Capital Management; Investment-related; 1000 4TH ST., Ste 650 San Rafael, CA 94901; Investment advisory firm (RIA); Investment advisor representative (selling agreement with this RIA); Start date of 08/2012; 0 hours per month; This is a RIA firm with a selling agreement with Capital Financial Management.
CRS (Client Relationship Summary) - RIA
Click below to view Donald Raymond Delaria, Jr.'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®
NoneExperience
Current
April 19, 2021 - Present
CAPITAL FINANCIAL MANAGEMENT NC, INC
Office #1: 1000 N. Main St. Ste. 218, Fuquay Varina, NC 27526RIA
CRD#: 157353
Fuquay Varina, NC
Current
July 6, 2021 - Present
GRADIENT INVESTMENTS, LLC
Office #1: 1000 N. Main Street Suite 218, Fuquay Varina, NC 27526RIA
CRD#: 141726
FUQUAY VARINA, NC
Past
February 17, 2022 - October 6, 2023
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
Varina, NC
Past
October 23, 2015 - December 31, 2021
BROOKSTONE ASSET MANAGEMENT, LLC
RIA
CRD#: 153467
Faquay Varina, NC
Past
September 22, 2012 - July 31, 2025
FREEDOM INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 126052
Fuquay Varina, NC
Past
April 28, 2011 - December 31, 2020
CAPITAL FINANCIAL MANAGEMENT NC, INC
RIA
CRD#: 157353
FUQUAY VARINA, NC
Past
December 21, 2000 - December 31, 2001
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GI
GRADIENT INVESTMENTS, LLC
GRADIENT INVESTMENT GROUP LLC | REGISTERED INDEPENDENT ADVISORS, LLC | REGISTERED INDEPENDENT AGENTS, LLC | GRADIENT INVESTMENTS, LLC
CRD#: 141726 / SEC#: 801-70812
RIA
Registered Investment Advisory firm - (12/1/2009 Approved)Alabama
Registered Investment Advisory firm - (1/20/2010 Terminated)Arizona
Registered Investment Advisory firm - (12/8/2009 Terminated)California
Registered Investment Advisory firm - (12/9/2009 Terminated)Colorado
Registered Investment Advisory firm - (12/10/2009 Terminated)Florida
Registered Investment Advisory firm - (12/8/2009 Terminated)Idaho
Registered Investment Advisory firm - (12/8/2009 Terminated)Kansas
Registered Investment Advisory firm - (12/8/2009 Terminated)Maryland
Registered Investment Advisory firm - (12/21/2009 Terminated)Minnesota
Registered Investment Advisory firm - (12/8/2009 Terminated)Missouri
Registered Investment Advisory firm - (12/8/2009 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2009 Terminated)New Jersey
Registered Investment Advisory firm - (12/8/2009 Terminated)New York
Registered Investment Advisory firm - (11/19/2009 Cancelled)North Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Ohio
Registered Investment Advisory firm - (12/8/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/10/2009 Terminated)South Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Tennessee
Registered Investment Advisory firm - (12/23/2009 Terminated)Texas
Registered Investment Advisory firm - (12/8/2009 Terminated)Virginia
Registered Investment Advisory firm - (12/9/2009 Terminated)Wisconsin
Registered Investment Advisory firm - (12/8/2009 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
North Carolina(4/19/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
GI
GRADIENT INVESTMENTS, LLC
GRADIENT INVESTMENT GROUP LLC | REGISTERED INDEPENDENT ADVISORS, LLC | REGISTERED INDEPENDENT AGENTS, LLC | GRADIENT INVESTMENTS, LLC
CRD#: 141726 / SEC#: 801-70812
RIA
Registered Investment Advisory firm - (12/1/2009 Approved)Alabama
Registered Investment Advisory firm - (1/20/2010 Terminated)Arizona
Registered Investment Advisory firm - (12/8/2009 Terminated)California
Registered Investment Advisory firm - (12/9/2009 Terminated)Colorado
Registered Investment Advisory firm - (12/10/2009 Terminated)Florida
Registered Investment Advisory firm - (12/8/2009 Terminated)Idaho
Registered Investment Advisory firm - (12/8/2009 Terminated)Kansas
Registered Investment Advisory firm - (12/8/2009 Terminated)Maryland
Registered Investment Advisory firm - (12/21/2009 Terminated)Minnesota
Registered Investment Advisory firm - (12/8/2009 Terminated)Missouri
Registered Investment Advisory firm - (12/8/2009 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2009 Terminated)New Jersey
Registered Investment Advisory firm - (12/8/2009 Terminated)New York
Registered Investment Advisory firm - (11/19/2009 Cancelled)North Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Ohio
Registered Investment Advisory firm - (12/8/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/10/2009 Terminated)South Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Tennessee
Registered Investment Advisory firm - (12/23/2009 Terminated)Texas
Registered Investment Advisory firm - (12/8/2009 Terminated)Virginia
Registered Investment Advisory firm - (12/9/2009 Terminated)Wisconsin
Registered Investment Advisory firm - (12/8/2009 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4105 Lexington Avenue North Suite 250, Arden Hills, MN 55126
Mailing Address
Phone number
(888) 824-3525
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 69,105 |
| AUM (Assets Under Management) | $ 7,096,331,987 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
GRADIENT INVESTMENTS, LLC
CRD#: 141726Fuquay Varina, NC 27526TRUST BUT VERIFY
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