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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 2018-10-15
  • NC RA
    APPROVED
    Since 2018-10-15

Branch Locations

131 E Innes Street Suite 307, Salisbury, NC 28144 • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Salisbury NC 05/2015 07/2018
Arco Capital Partners Llc Salisbury NC 10/2015 07/2018
Raymond James Financial Services Advisors Inc. Salisbury NC 05/2015 07/2018
Saybrus Partners Salisbury NC 10/2015 01/2017
Capital Investment Group, Inc. Raleigh NC 08/2018 Present
Capital Investment Advisory Services, Llc Raleigh NC 08/2018 Present
Previous Registrations
Other Businesses

1)SALISBURY ROTARY CLUB, 300 W. LIBERTY ST, SALISBURY NC 28144. NON-INVESTMENT RELATED. CIVIC CLUB MEMBER. ONE HOUR/WEEK DURING NORMAL TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-05-05
S63 Uniform Securities Agent State Law Examination 1986-10-06
  • S65 Uniform Investment Adviser Law Examination
    2004-05-05
  • S63 Uniform Securities Agent State Law Examination
    1986-10-06
Other Names
  • Cliff Sorel

View on SEC IAPD

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