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BN

Brian W. Neustrom

CRD#: 5530526
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BN
Brian William Neustrom

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Brian William Neustrom was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2008. Brian had worked at 14 firms and has passed the Series 66, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 1, 2022 - October 7, 2022

MODERN CAPITAL ADVISORS, LLC

RIA
CRD#: 131117
Englewood, CO
Past

October 8, 2021 - July 15, 2022

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
RALEIGH, NC
Past

October 6, 2021 - July 15, 2022

MODERN CAPITAL SECURITIES INC.

BD
CRD#: 130876
RALEIGH, NC
Past

January 18, 2021 - June 10, 2026

PARSONEX ADVISORY SERVICES, INC.

RIA
CRD#: 160275
ENGLEWOOD, CO
Past

January 18, 2021 - May 1, 2026

PARSONEX CAPITAL MARKETS, LLC

BD
CRD#: 169578
Englewood, CO
Past

January 18, 2021 - June 10, 2026

PARSONEX SECURITIES, INC.

BD
CRD#: 144412
Englewood, CO
Past

July 10, 2018 - January 21, 2021

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
DENVER, CO
Past

May 16, 2017 - May 31, 2018

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
DENVER, CO
Past

May 16, 2017 - January 21, 2021

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

April 25, 2016 - May 31, 2018

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
DENVER, CO
Past

August 7, 2015 - December 31, 2016

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
Denver, CO
Past

June 19, 2013 - May 31, 2018

CETERA ADVISORS LLC

RIA
CRD#: 10299
DENVER, CO
Past

June 18, 2013 - May 31, 2018

CETERA ADVISORS LLC

BD
CRD#: 10299
DENVER, CO
Past

March 27, 2012 - June 19, 2013

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
METAIRIE, LA
Past

January 26, 2012 - June 19, 2013

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
METAIRIE, LA
Past

September 27, 2010 - January 20, 2012

ESSEX NATIONAL SECURITIES, LLC

RIA
CRD#: 25454
LAFAYETTE, LA
Past

September 9, 2009 - January 20, 2012

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
LAFAYETTE, LA
Past

July 2, 2008 - May 1, 2009

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
LAFAYETTE, LA

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".
MC
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)

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: 12/16/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 4/29/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/11/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/1/2008
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/28/2011
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/12/2010
General Securities Principal Examination

Current Firm

MC
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)
Loading...

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
30

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 Accounts1,561
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.

Company Information

MODERN CAPITAL ADVISORS, LLC

CRD#: 131117

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