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100 E. Six Forks Road Suite 200, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-01-03 |
Branch Locations
100 E. Six Forks Road Suite 200, Raleigh, NC 27609 • United States
Raleigh, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bluerock Capital Markets Llc | New York | NY | 01/2016 | 05/2018 |
| Highland Capital Funds Distributor, Inc. | Dallas | TX | 06/2018 | 10/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cary | NC | 10/2021 | 11/2022 |
| Bank Of America, N.A. | Cary | NC | 12/2021 | 11/2022 |
| Capital Investment Brokerage, Inc | Raleigh | NC | 01/2023 | 01/2023 |
| Capital Investment Advisory Services, Llc | Raleigh | NC | 01/2023 | Present |
| Capital Investment Group, Inc | Raleigh | NC | 01/2023 | Present |
1. BASS BRENNAN ADVISORY, LLC. CO-MANAGER. 155 JACKSON RD., FUQUAY-VARINA, NC 27526. ENTITY TO FACILITATE THE PURCHASE OF RISING TIDE, INC. STARTED 1.2023. INVESTMENT RELATED. 2 HRS/WK, 0 HRS DURING NORMAL TRADING HRS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 2008-10-27 |
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