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LW

Lynn M. Weirick

MODERN CAPITAL SECURITIES
Raleigh, NC 27617
Some features on this profile are disabled
CRD#: 4695097
LW

Professional summary

Lynn M Weirick, who also goes by Lynn Marie Weirick, Lynn Weirick, is a registered financial professional currently at MODERN CAPITAL SECURITIES INC. located in Raleigh, North Carolina.

Lynn is registered as a RR (Registered Representative) and started their career in finance in 2004. Lynn has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lynn Marie Weirick | Lynn Weirick

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)Name:WKA Financial, LLC and Wayne Kaye & Associates LLC, Inv Rel:Y Addr:135 South Main St, Greenville SC 29601, Nature:life, health, group life, group health, Position:owner, Start:4/1/12, No hr/mo: 15 No hr/mo dur trading:15. (2)Name:Evans-Weirick Consulting LLC/QLI International LLC, Inv rel: Y Addr:135 South Main Street Suite 900 Greenville SC 29601, Nature:business consulting, Position:owner/independent contractor, Start:7/1/16, No hr/mo:15 No hr/mo dur trading:10.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lynn M Weirick'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

February 7, 2024 - Present

MODERN CAPITAL SECURITIES INC.

Office #1: 7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617
BD
CRD#: 130876
Raleigh, NC
Past

August 17, 2023 - October 9, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
MOUNT PLEASANT, SC
Past

March 7, 2023 - October 9, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
MOUNT PLEASANT, SC
Past

March 1, 2013 - April 8, 2021

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
GREENVILLE, SC
Past

August 27, 2010 - November 5, 2012

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
GREENVILLE, SC
Past

January 13, 2004 - August 13, 2010

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
LAURENS, SC

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
South Carolina
(2/7/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/12/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/14/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/9/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/12/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MODERN CAPITAL SECURITIES INC.
MODERN CAPITAL SECURITIES INC. | WESTERN EQUITY GROUP, INC.

CRD#: 130876 / SEC#: , 8-66403

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
7780 Brier Creek Parkway Suite 325, Pleasant View, TN 37146
Mailing Address
7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617
Phone number
(919) 302-9855
Established
California since 01/22/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MODERN CAPITAL, INCOWNER
ATKINS, BRADLEY DALEOWNER2963790
SHANAHAN, DANIEL JAMESCEO, PRESIDENT, CCO3277912
WOODWARD, CASSANDRA TALEENCFO, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER,2956369

Disclosures

Regulatory Event1

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.

Company Information

MODERN CAPITAL SECURITIES INC.

CRD#: 130876Raleigh, NC 27617

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