Best Investors Account Sign in

Benjamin Timothy Brooks

Capital Investment Advisory Services, LLC

Raleigh, NC

Claim This Profile
Current Employers
Capital Investment Advisory Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2013-01-02
  • NC RA
    APPROVED
    Since 2013-01-02

Branch Locations

100 E. Six Forks Road Suite 200, Raleigh, NC 27609 • 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
OrganizationCityStateFromTo
Capital Investment Group, Inc. Raleigh NC 08/2001 Present
Capital Investment Advisory Services, Llc Raleigh NC 01/2013 Present
Capital Investment Group, Inc. Raleigh NC 07/2016 Present
Previous Registrations
  • 2006-06-01 → 2012-12-31
    Cic Advisers, Llc
    Raleigh, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-03-12
S63 Uniform Securities Agent State Law Examination 1992-02-28
  • S65 Uniform Investment Adviser Law Examination
    1992-03-12
  • S63 Uniform Securities Agent State Law Examination
    1992-02-28
Other Names
  • Ben Brooks

View on SEC IAPD

Other Firms

TOWNSEND ASSET MANAGEMENT CORP.
FORTRESS PRIVATE LEDGER, LLC
OLDE RALEIGH FINANCIAL GROUP
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
ADVISORY SERVICES NETWORK
WELLS FARGO CLEARING SERVICES, LLC
EDWARD JONES
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH
William Dean Cotton
Earl Scott Butcher
DAVID JEFFREY HERMAN
JAY DAVID MCKINNEY
BRANDON ALAN WALLS

Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

More in Raleigh, NC

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor