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100 East Six Forks Road, Suite 250, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-08-28 |
Branch Locations
100 East Six Forks Road, Suite 250, Raleigh, NC 27609 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital Investment Group, Inc. | Raleigh | NC | 12/1995 | Present |
| Capital Investment Advisory Services, Llc | Raleigh | NC | 01/2013 | Present |
1. GAUGERT FINANCIAL, INSURANCE AGENT PROVIDING INSURANCE SERVICE & SALES. SPEND APPROX 60 HRS/MO ON SUCH ACTIVITY, 75% DURING NORMAL TRADING HOURS. SAME ADDRESS AS OFFICE OF EMPLOYMENT ADDRESS. INVESTMENT RELATED BUSINESS PER FINRA DEFINITION. BEGUN IN 1991. 2. SINGER. SINGER WITH VARIOUS ORGANIZATIONS. STARTED 5/2019. 10 HRS/MONTH, 0 DURING NORMAL TRADING HOURS. NOT INVESTMENT RELATED. 3. NC MASTER CHORALE. MEMBER OF BOARD OF DIRECTORS. POSITION ADDED 7/2022. PO BOX 562 RALEIGH, NC 27602. 1 HR/WK, 1 DURING NORMAL TRADING HRS. NO COMPENSATION. NOT INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-02-22 |
| S63 | Uniform Securities Agent State Law Examination | 1991-09-27 |
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