David Raymond Hartness

CRD 2418328 · Captrust · Wilmington, NC

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 7Series 6
Registered states (2): North Carolina · Vermont
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2418328 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Captrust
Firm CRD: 175112
SEC number: 801-62193
Assets under management: $1.2T as of May 27, 2026
Website: www.linkedin.com/COMPANY/CAPTRUST ↗
Phone: 919-870-6822
Firm location: Raleigh, NC, 27609

Employment history (13)

From the source registration record · current first

Capfinancial Securities, LLC.Current
Wilmington, NC · BD capacity

Nov 8, 2022 → present
CaptrustCurrent
Wilmington, NC · IA capacity

Nov 8, 2022 → present
Hightower Securities, LLC
BD capacity

Oct 28, 2016 → Oct 28, 2022
Hightower Advisors, LLC
IA capacity

Oct 28, 2016 → Oct 28, 2022
Irongate Partners, Inc.
IA capacity

Dec 15, 2004 → Mar 21, 2017
Capital Investment Group, Inc.
BD capacity

Jul 23, 2012 → Oct 28, 2016
Irongate Investment Management, LLC
IA capacity

Jan 10, 2013 → Dec 31, 2015
Triad Advisors, Inc.
BD capacity

Jan 3, 2005 → Jul 20, 2012
Mml Investors Services, Inc.
BD capacity

Nov 18, 2004 → Dec 31, 2004
American Express Financial Advisors, Inc.
IA capacity

Dec 31, 2001 → Nov 5, 2004
Ids Life Insurance Company
BD capacity

May 15, 1995 → Nov 5, 2004
American Express Financial Advisors Inc.
BD capacity

May 15, 1995 → Nov 5, 2004
First Union Brokerage Services, Inc.
BD capacity

Jun 8, 1994 → Oct 7, 1994

Source & corrections

Where this page comes from

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