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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 2022-04-28
  • NC RA
    APPROVED
    Since 2022-04-28

Branch Locations

Chapel Hill, NC • United States

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Capital Investment Group, Inc. Chapel Hill NC 03/1993 Present
Rising Tide, Inc. Chapel Hill NC 04/1993 12/2022
Capital Investment Advisory Services, Llc Raleigh NC 04/2022 Present
Previous Registrations
Other Businesses

1. INSURANCE AGENT UNDER MY NAME PROVIDING INSURANCE SERVICE AND SALES. SPEND ROUGHLY 20 HRS/MONTH, WITH 15 HRS DURING TRADING HRS. LOCATED AT OFFICE OF EMPLOYMENT ADDRESS. INVESTMENT RELATED BUSINESS PER NASD DEFINITION. ACTIVITY BEGUN IN 1981. 2. KIWANIS CLUB OF HILLSBOROUGH, TREASURER. 1506 POPLAR LANE, HILLSBOROUGH, NC. COLLECT LOCAL DUES AND PAY BILLS FOR THE CLUB. STARTED AS TREASURER IN 2008. <2 HRS/WEEK, <1 DURING TRADING HOURS. 3. RISING TIDE, INC. PRESIDENT. 7312 CRESCENT RIDGE DRIVE, CHAPEL HILL, NC 27516. DBA NAME FOR INVESTMENT AND ADVISORY BUSINESS. 30 HRS/WK, 30 HRS DURING NORMAL TRADING HOURS. ACTIVITY IS INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-05-21
S63 Uniform Securities Agent State Law Examination 1982-05-14
  • S65 Uniform Investment Adviser Law Examination
    1991-05-21
  • S63 Uniform Securities Agent State Law Examination
    1982-05-14
Other Names
  • Tim Hucks

View on SEC IAPD

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