JM
Joseph R. Mcleod
RALEIGH CAPITAL MANAGEMENT
CARY, NC 27511
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CRD#: 6405239
JM
Professional summary
Joseph Reading Mcleod is a registered financial advisor currently at RALEIGH CAPITAL MANAGEMENT INC. located in Cary, North Carolina.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Joseph has worked at 3 firms and has passed the Series 65, Series 63, 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.
RALEIGH WEALTH SOLUTIONS, INC., A COMPANY OFFERING LIFE INSURANCE AND ANNUITIES. 117 Edinburgh South Drive, Suite 110, Cary, NC 27511; ADVISOR, COMPLETING AND PROCESSING INSURANCE APPLICATIONS. APPROX 8 HOURS EACH MONTH IN THIS POSITION PROCESSING APPLICATIONS AND RECOMMENDING INSURANCE PRODUCTS TO CLIENTS. ALL DURING SECURITIES TRADING HOURS. START DATE 9/2015. THE ACTIVITY IS INVESTMENT RELATED .
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Reading Mcleod'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
June 14, 2017 - Present
RALEIGH CAPITAL MANAGEMENT INC.
Office #1: 117 Edinburgh South Drive Suite 110, Cary, NC 27511RIA
CRD#: 149538
CARY, NC
Past
January 8, 2019 - November 19, 2019
INTERVEST INTERNATIONAL EQUITIES CORPORATION
BD
CRD#: 20289
Cary, NC
Past
January 20, 2015 - December 31, 2018
G.F. INVESTMENT SERVICES, LLC
BD
CRD#: 132939
Cary, 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".
RC
RALEIGH CAPITAL MANAGEMENT INC.
RALEIGH CAPITAL MANAGEMENT INC. | TRUWEALTH CAPITAL MANAGEMENT, INC. | RALEIGH CAPITAL MANAGEMENT, INC.
CRD#: 149538 / SEC#: 801-121781
RIA
Registered Investment Advisory firm - (7/16/2021 Approved)North Carolina
Registered Investment Advisory firm - (8/17/2021 Terminated)Texas
Registered Investment Advisory firm - (8/13/2021 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.Highlighted states indicate IAR registrations
IAR
North Carolina(6/14/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RC
RALEIGH CAPITAL MANAGEMENT INC.
RALEIGH CAPITAL MANAGEMENT INC. | TRUWEALTH CAPITAL MANAGEMENT, INC. | RALEIGH CAPITAL MANAGEMENT, INC.
CRD#: 149538 / SEC#: 801-121781
RIA
Registered Investment Advisory firm - (7/16/2021 Approved)North Carolina
Registered Investment Advisory firm - (8/17/2021 Terminated)Texas
Registered Investment Advisory firm - (8/13/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
117 Edinburgh South Drive Suite 110, Cary, NC 27511
Mailing Address
Phone number
(919) 852-1215
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,628 |
| AUM (Assets Under Management) | $ 320,626,592 |
Red Flags
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Company Information
RALEIGH CAPITAL MANAGEMENT INC.
CRD#: 149538Cary, NC 27511TRUST BUT VERIFY
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