James Laurel Cook

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
GA	RA	APPROVED	2018-09-18

GA RA
APPROVED

Since 2018-09-18

Branch Locations

Cumming, GA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
National Life Of Vermont	Montpelier	VT	02/2000	09/2018
Equity Services, Inc.	Montpelier	VT	03/2000	09/2018
Capital Investment Group, Inc.	Raleigh	NC	09/2018	Present
Capital Investment Advisory Services, Llc	Raleigh	NC	09/2018	Present

02/2000 → 09/2018

National Life Of Vermont

Montpelier, VT
03/2000 → 09/2018

Equity Services, Inc.

Montpelier, VT
09/2018 → Present

Capital Investment Group, Inc.

Raleigh, NC
09/2018 → Present

Capital Investment Advisory Services, Llc

Raleigh, NC

Previous Registrations

2003-04-11 → 2018-09-04

Equity Services, Inc.

Sandy Springs, GA

Jacksonville, FL

Other Businesses

1.) INSURANCE - AGENT. 100 EAST SIX FORKS ROAD, SUITE 200, RALEIGH NC 27609. NOT INV REL. SELLING RISK MANAGEMENT PRODUCTS & NON REGISTERED PRODUCTS. START 9/10/18. 40 - 60 HRS/MON. 12 - 20 HRS DURING TRADING HOURS. 2.) PENN MUTUAL. INSURANCE AGENT. START 1/2021. 2210 WOOD COVE DRIVE, CUMMING, GA 30041. AGENT SELLING RISK MANAGEMENT PRODUCTS. ACTIVITY NOT INVESTMENT RELATED. 3 HRS/WK, <2 DURING NORMAL TRADING HRS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-03-21
S63	Uniform Securities Agent State Law Examination	1991-07-29

S65 Uniform Investment Adviser Law Examination

1995-03-21
S63 Uniform Securities Agent State Law Examination

1991-07-29

View on SEC IAPD