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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 2010-09-08
  • NC RA
    APPROVED
    Since 2010-09-08

Branch Locations

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

1405 Hillsborough Street, Raleigh, NC 27605 • 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 Brokerage, Inc. Raleigh NC 04/1997 Present
  • 04/1997 → Present
    Capital Investment Brokerage, Inc.
    Raleigh, NC
Other Businesses

1. ROTARY CLUB OF RALEIGH. MEMBER. PO BOX 20807, RALEIGH, NC 27619. MEMBER SINCE 1987. NOT INVESTMENT RELATED. REP IS SOLICITOR BROKER FOR CLUB FOUNDATION AND ATTENDS WEEKLY LUNCH MEETINGS. 1 HR/WK, 1 DURING NORMAL TRADING HRS. 2. HILL-PIKE HOUSE TRUST. TRUSTEE. 2135 COWPER DRIVE, RALEIGH, NC 27608. TRUST SET UP TO PAY EXPENSES OF HILL-PIKE HOUSE IN MARIETTA, GA. EXPENSES INCLUDE UTILITIES, TAXES AND UPKEEP. NOT INVESTMENT RELATED. STARTED 2017. 1 HR/WEEK, 0 HRS DURING NORMAL TRADING HOURS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-08-10
S63 Uniform Securities Agent State Law Examination 1980-08-01
  • S66 Uniform Combined State Law Examination
    2010-08-10
  • S63 Uniform Securities Agent State Law Examination
    1980-08-01
Designations
Other Names
  • Charlie Upshaw

View on SEC IAPD

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