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Brett Dublick

CAPFINANCIAL SECURITIES.
Raleigh, NC 27609
Some features on this profile are disabled
CRD#: 5046457
BD

Professional summary

Brett Dublick, who also goes by Brett C Dublick, Brett Charles Dublick, is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Raleigh, North Carolina.

Brett is registered as a RR (Registered Representative) and started their career in finance in 2006. Brett has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brett C Dublick | Brett Charles Dublick

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brett Dublick'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

October 3, 2019 - Present

CAPFINANCIAL SECURITIES, LLC.

Office #1: 4208 Six Forks Road #1700, Raleigh, NC 27609
BD
CRD#: 126291
Raleigh, NC
Past

September 23, 2008 - November 24, 2015

TD AMERITRADE, INC.

RIA
CRD#: 7870
JERSEY CITY, NJ
Past

September 19, 2008 - November 24, 2015

TD AMERITRADE, INC.

BD
CRD#: 7870
JERSEY CITY, NJ
Past

September 25, 2007 - June 26, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
VOORHEES, NJ
Past

March 8, 2007 - June 26, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
VOORHEES, NJ
Past

November 30, 2006 - January 31, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
VOORHEES, NJ
Past

November 1, 2006 - January 31, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
VOORHEES, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/29/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/24/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/2006
General Securities Representative Examination
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)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
THE CAPFINANCIAL GROUP, LLCMEMBER
BUCHANAN, DENISE MCGEECCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO1284353
EARLS, MARY CHRISTINESENIOR DIRECTOR/FINOP6178047
HOYLE, WILSON SMITH IIIMANAGING DIRECTOR2444392
SHOFF, DERICK DONMANAGING DIRECTOR1140640
STROTHER, MICHAEL DAVIDSENIOR DIRECTOR, FINOP2457427

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

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291Raleigh, NC 27609

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