Adam D. Flaws
Professional summary
Adam David Flaws is a registered financial professional currently at NORTH SOUTH CAPITAL, LLC located in New Lenox, Illinois.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2007. Adam has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam David Flaws's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 24, 2017 - Present
NORTH SOUTH CAPITAL, LLC
Office #1: 321 West Maple Street Suite 100, New Lenox, IL 60451April 16, 2009 - January 25, 2017
CABRERA CAPITAL MARKETS, LLC
April 4, 2007 - April 14, 2009
OPTIONSXPRESS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/2/2017)
(1/25/2017)
(1/31/2017)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/16/2003
Limited Representative-Equity Trader ExamFINRA
Current Firm
NORTH SOUTH CAPITAL, LLC
CRD#: 148158 / SEC#: , 8-67979
Contact information
FINRA licenses (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 136 |
| AUM (Assets Under Management) | $ 25,887,891 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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