Charles William Pendergraft

Current Employers

Capital Investment Advisory Services, Llc

100 E. Six Forks Road Suite 200, Raleigh, NC 27609 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2011-07-24

NC RA
APPROVED

Since 2011-07-24

Branch Locations

Charlotte, NC • United States

100 E. Six Forks Road Suite 200, Raleigh, NC 27609 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Capital Investment Group, Inc.	Raleigh	NC	06/2011	Present

06/2011 → Present

Capital Investment Group, Inc.

Raleigh, NC

Previous Registrations

2009-08-21 → 2011-06-17

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hickory, NC

Winston Salem, NC
2002-10-29 → 2009-08-26

Wells Fargo Clearing Services, Llc

Morganton, NC

Morganton, NC

Lenoir, NC

Morganton, NC

Morganton, NC

Charlotte, NC

Other Businesses

1. FALL CREEK FARM, OWNER. 2441 SMITHTOWN RD, EAST BEND, NC 27018. FARMING AND AGRICULTURE. STARTED 11/2015. 35-40 HRS/MONTH, 10 HRS DURING NORMAL TRADING HRS. NOT INVESTMENT RELATED. 2. TPG PLANNING & ASSET MANAGEMENT, LLC. PRESIDENT. 7421 CARMEL EXECUTIVE PARK DR, STE 310, CHARLOTTE, NC 28226. LLC STARTED 2020. SECURITIES AND FINANCIAL MANAGEMENT BUSINESS. ACTIVITY IS INVESTMENT RELATED. 40 HRS/WK, 33 DURING NORMAL TRADING HRS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-02-19
S63	Uniform Securities Agent State Law Examination	1995-05-25

S65 Uniform Investment Adviser Law Examination

1999-02-19
S63 Uniform Securities Agent State Law Examination

1995-05-25

Other Names

Charles William Ii Pendergraft

View on SEC IAPD