Timothy C. Hucks

CAPITAL INVESTMENT ADVISORY SERVICES

CHAPEL HILL, NC

Some features on this profile are disabled

CRD#: 1023012

Professional summary

Timothy Craig Hucks, who also goes by Tim Hucks, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Chapel Hill, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Raleigh, North Carolina.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Timothy has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tim Hucks

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Craig Hucks's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 28, 2022 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 149124

CHAPEL HILL, NC

Current

April 5, 1993 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 150 Fayetteville Street Suite 2300, Raleigh, NC 27601

CRD#: 14752

Raleigh, NC

Past

February 16, 2015 - March 28, 2023

WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC

RIA

CRD#: 106060

CHAPEL HILL, NC

Past

April 6, 1992 - April 5, 1993

PROGRAMMED EQUITIES CORPORATION

CRD#: 21778

Past

June 7, 1990 - April 10, 1992

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

December 2, 1986 - June 20, 1990

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

August 14, 1985 - November 26, 1986

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

Past

March 24, 1982 - August 26, 1985

SIGNATOR INVESTORS, INC.

CRD#: 468

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

CRD#: 149124 / SEC#: 801-69846

RIA

Registered Investment Advisory firm - (1/5/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

District of Columbia
(11/24/2015)

Florida
(11/10/2022)

North Carolina
(4/5/1993)

IAR

North Carolina
(4/28/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/21/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/14/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/26/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/12/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/3/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

CRD#: 149124 / SEC#: 801-69846

RIA

Registered Investment Advisory firm - (1/5/2009 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

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

Mailing Address

P.o. Box 32249, Raleigh, NC 27622

Phone number

(919) 831-2370

Established

Firm type

Fiscal year end

# of Employees

106

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIAS ADV PART 2A (3/13/2025)

Regulatory assets under management

Total Number of Accounts	8,619
AUM (Assets Under Management)	$ 1,930,938,262

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Timothy C. Hucks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Craig Hucks's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL INVESTMENT GROUP, INC.

WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC

PROGRAMMED EQUITIES CORPORATION

SECURITIES SERVICE NETWORK, LLC

1717 CAPITAL MANAGEMENT COMPANY

LOWRY FINANCIAL SERVICES CORPORATION

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/1991

Series 63

Date: 5/14/1982

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1986

Series 22

Date: 7/26/1983

Series 6

Date: 3/12/1982

Series 24

Date: 3/3/1995

FINRA

Current Firm

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors