Matthew J. Drummond

MODERN CAPITAL ADVISORS

Raleigh, NC

Some features on this profile are disabled

CRD#: 4337694

Professional summary

Matthew John Drummond, AIF®, who also goes by Matt Drummond, Matthew J Drummond, is a registered financial advisor currently at MODERN CAPITAL ADVISORS, LLC located in Raleigh, North Carolina.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Matthew has worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matt Drummond | Matthew J Drummond

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.

PCS Retirement, Yes, 1801 Market Street, Suite 1000, Philadelphia, PA 19103, Retirement Plan Record Keeper, National Sales Director, Working with Financial Advisors to get them to utilize PCS Record Keeping tools. 01/01/2020, 40 hrs, Focus on growing PCS Retirement record keeping business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew John Drummond'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 21, 2022 - Present

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

Raleigh, NC

Past

January 28, 2021 - December 31, 2021

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

Raleigh, NC

Past

January 27, 2021 - October 31, 2025

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

RALEIGH, NC

Past

May 9, 2013 - July 11, 2019

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

JERSEY CITY, NJ

Past

May 9, 2013 - July 11, 2019

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

October 1, 2012 - July 11, 2019

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

JERSEY CITY, NJ

Past

March 3, 2010 - October 19, 2012

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

RALEIGH, NC

Past

March 3, 2010 - October 19, 2012

EQUITABLE ADVISORS, LLC

CRD#: 6627

RALEIGH, NC

Past

November 21, 2008 - March 4, 2010

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

RALEIGH, NC

Past

November 21, 2008 - March 4, 2010

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

RALEIGH, NC

Past

December 31, 2001 - December 2, 2008

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

RALEIGH, NC

Past

March 29, 2001 - December 2, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

RALEIGH, NC

Past

January 30, 2001 - February 13, 2001

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

CINCINNATI, OH

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".

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA

Registered Investment Advisory firm - (7/26/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/2/2012 Terminated)

California

Registered Investment Advisory firm - (3/3/2012 Terminated)

Mississippi

Registered Investment Advisory firm - (2/2/2012 Terminated)

Nevada

Registered Investment Advisory firm - (3/16/2012 Terminated)

Ohio

Registered Investment Advisory firm - (2/2/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(1/21/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/3/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/29/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/29/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/28/2004

General Securities Principal Examination

Current Firm

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA

Registered Investment Advisory firm - (7/26/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/2/2012 Terminated)

California

Registered Investment Advisory firm - (3/3/2012 Terminated)

Mississippi

Registered Investment Advisory firm - (2/2/2012 Terminated)

Nevada

Registered Investment Advisory firm - (3/16/2012 Terminated)

Ohio

Registered Investment Advisory firm - (2/2/2012 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617

Mailing Address

Phone number

(800) 440-0442

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MODERN CAPITAL ADVISORS ADV 2A (3/29/2024)

Regulatory assets under management

Total Number of Accounts	1,561
AUM (Assets Under Management)	$ 285,401,221

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Matthew J. Drummond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew John Drummond's CRS (Customer Relationship Summary).

Certified licenses

Experience

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE DISTRIBUTORS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

W&S BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

MODERN CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/3/2001

Series 63

Date: 1/29/2001

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/18/2001

Series 6

Date: 1/29/2001

Series 24

Date: 4/28/2004

Current Firm

MODERN CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MODERN CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors