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Detailed Report
Kipp Gordon Small
CRD#: 2172469
IA
Investment Adviser
B
Broker
CAPTRUSTCRD#: 175112 400 N Tampa St
Suite 1800
Tampa, FL 33602
CAPFINANCIAL SECURITIES, LLC.CRD#: 126291 400 N Tampa St
Suite 1800
Tampa, FL 33602
Registration History
19952000200520102015202020252 FIRMS2011 - 2015 (3 years)3 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - Present (7 years)BNFP SECURITIES, INC. (CRD# 42046)2006 - 2011 (5 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)2003 - 2006 (2 years)BPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)2002 - 2003 (<1 year)BPPI EMPLOYEE BENEFITS CORPORATION (CRD# 28970)1992 - 2002 (10 years)IANFP SECURITIES, INC. (CRD# 42046)2008 - 2011 (2 years)
License(s)

State Registrations

IA
Florida 7/18/2017
B
North Carolina 8/18/2017
B
Florida 8/18/2017

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAPTRUST (CRD#:175112)
400 N Tampa St Suite 1800, Tampa, FL 33602
Registered with this firm since 7/18/2017
B
CAPFINANCIAL SECURITIES, LLC. (CRD#:126291)
400 N Tampa St Suite 1800, Tampa, FL 33602
Registered with this firm since 8/18/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/07/2016 - 12/31/2017 CAPTRUST ADVISORS, LLC (CRD#:142941) TAMPA, FL
IA
 08/29/2016 - 06/14/2017 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) TAMPA, FL
B
 09/09/2016 - 06/14/2017 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) TAMPA, FL
IA
 11/04/2011 - 04/17/2015 MMC SECURITIES CORP. (CRD#:103846) SUNRISE, FL
B
 09/21/2011 - 04/17/2015 MMC SECURITIES CORP. (CRD#:103846) SUNRISE, FL
IA
 07/02/2008 - 06/23/2011 NFP SECURITIES, INC. (CRD#:42046) FARMINGTON, CT
B
 06/06/2006 - 06/23/2011 NFP SECURITIES, INC. (CRD#:42046) FARMINGTON, CT
B
 11/06/2003 - 06/09/2006 MML INVESTORS SERVICES, INC. (CRD#:10409) FARMINGTON, CT
B
 12/19/2002 - 08/04/2003 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) DES MOINES, IA
B
 08/21/1992 - 12/17/2002 PPI EMPLOYEE BENEFITS CORPORATION (CRD#:28970) MIDDLETOWN, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.