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LX

Le Xi

MODERN CAPITAL SECURITIES
Raleigh, NC 27617
Some features on this profile are disabled
CRD#: 6450343
LX

Professional summary

Le Xi, who also goes by Schiller XI, is a registered financial professional currently at MODERN CAPITAL SECURITIES INC. located in Raleigh, North Carolina.

Le is registered as a RR (Registered Representative) and started their career in finance in 2015. Le has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Schiller Xi

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 Le Xi'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

December 3, 2025 - Present

MODERN CAPITAL SECURITIES INC.

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

February 20, 2019 - October 31, 2025

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
West Palm Beach, FL
Past

September 3, 2015 - March 8, 2019

GARDEN STATE SECURITIES, INC.

BD
CRD#: 10083
WELLINGTON, FL

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
California
(12/4/2025)
RR
Delaware
(1/14/2026)
RR
Florida
(12/4/2025)
RR
Illinois
(12/5/2025)
RR
Maryland
(12/4/2025)
RR
New Jersey
(12/5/2025)
RR
New York
(12/8/2025)
RR
Ohio
(12/4/2025)
RR
Oregon
(12/4/2025)
RR
South Carolina
(12/9/2025)
RR
Tennessee
(12/5/2025)
RR
Texas
(12/4/2025)
RR
Utah
(1/26/2026)
RR
Virginia
(12/8/2025)
RR
Washington
(12/5/2025)
RR
Wisconsin
(12/9/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/19/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/2015
General Securities 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 (36 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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