GM
Geoffrey G. Mclawhorn
MODERN CAPITAL ADVISORS
New Bern, NC 28562
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CRD#: 5744854
GM
Professional summary
Geoffrey G Mclawhorn is a registered financial advisor currently at MODERN CAPITAL ADVISORS, LLC located in New Bern, North Carolina and MODERN CAPITAL SECURITIES INC. located in Raleigh, North Carolina.
Geoffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Geoffrey has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(1)NAME: SALTWATER INSURANCE SERVICES LLC INV REL: Y ADDR: 3402 TRENT RD NEW BERN NC 28562 NATURE: OTHER- OWN A P&C FIRM POSITION: OWNER START: 11/03/21 NO HRS/MO: 5 NO HRS/MO DUR SEC TRADING: 0 DESCRIBE DUTIES: AGENTS EMPLOYED BY ME WILL CONDUCT THE BUSINESS. (2)NAME: GG POKEPALS INV REL: N ADDR: RESIDENTIAL ADDRESS NATURE: TRADING/SPORTS CARDS POSITION: OWNER START: 5/1/2023 NO HRS/MO: 10 NO HRS/MO DUR SEC TRADING: 0 DESCRIBE DUTIES: BUY AND SELL POKEMON AND SPORTS CARDS FOR MY KIDS COLLECTIONS. (3)NAME: MM FINANCIAL GROUP, LLC INV REL: Y ADDR: 2600 NEUSE BLVD., NEW BERN, NC 28562 NATURE: CONDUCT FINANCIAL SERVICES PRACTICE POSITION: OWNER/FINANCIAL ADVISOR START: 1/1/2020 NO HRS/MO: 160 NO HRS/MO DUR SEC TRADING: 160
CRS (Client Relationship Summary) - RIA
Click below to view Geoffrey G Mclawhorn's 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®
NoneExperience
Current
September 17, 2024 - Present
MODERN CAPITAL ADVISORS, LLC
Office #1: 2600 Neuse Blvd, New Bern, NC 28562RIA
CRD#: 131117
New Bern, NC
Current
August 4, 2024 - Present
MODERN CAPITAL SECURITIES INC.
Office #1: 7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617BD
CRD#: 130876
Raleigh, NC
Past
October 31, 2016 - August 9, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NEW BERN, NC
Past
October 13, 2016 - August 9, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW BERN, NC
Past
November 8, 2010 - August 29, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
NEW BERN, NC
Past
September 19, 2010 - August 29, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
NEW BERN, NC
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Florida(8/22/2024)
RR
Maryland(11/24/2024)
RR
New Jersey(8/4/2024)
RR
North Carolina(8/4/2024)
IAR
North Carolina(9/17/2024)
RR
South Carolina(8/4/2024)
RR
Virginia(8/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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)Upgrade to AdvisorCheck Premium
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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
Regulatory assets under management
| Total Number of Accounts | 1,561 |
| AUM (Assets Under Management) | $ 285,401,221 |
Red Flags
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Company Information
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117New Bern, NC 28562TRUST BUT VERIFY
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