Frank H. Shields

CAPITAL INVESTMENT ADVISORY SERVICES

ROCKY MOUNT, NC 27804

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CRD#: 1027211

Professional summary

Frank Hodgin Shields is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Rocky Mount, North Carolina and CAPITAL INVESTMENT BROKERAGE, INC. located in Rocky Mount, North Carolina.

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

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Hodgin Shields'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

February 6, 2013 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Office #1: 862 Country Club Road, Rocky Mount, NC 27804

RIA

CRD#: 149124

ROCKY MOUNT, NC

Current

April 2, 1997 - Present

CAPITAL INVESTMENT BROKERAGE, INC.

Office #1: 862 Country Club Drive, Rocky Mount, NC 27804Office #2: 171 North Winstead Avenue, Rocky Mount, NC 27804

CRD#: 40657

Rocky Mount, NC

Past

February 15, 2008 - December 31, 2012

CIC ADVISERS, LLC

RIA

CRD#: 130735

RALEIGH, NC

Past

July 3, 1995 - April 9, 1997

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

RALEIGH, NC

Past

September 17, 1990 - July 6, 1995

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

January 25, 1982 - September 26, 1990

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

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

Alabama
(4/21/2020)

California
(12/12/2006)

Florida
(4/2/1997)

Georgia
(9/25/2009)

Indiana
(9/25/2009)

Massachusetts
(4/16/2021)

New Jersey
(5/3/2022)

New York
(1/13/2003)

North Carolina
(4/2/1997)

IAR

North Carolina
(2/6/2013)

Ohio
(4/17/2020)

Texas
(5/10/2017)

Virginia
(4/2/2013)

West Virginia
(1/23/2023)

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: 12/15/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/1982

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: 1/16/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/29/1991

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)

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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.

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Firm Stability Insights

Frank H. Shields

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Hodgin Shields's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL INVESTMENT BROKERAGE, INC.

CIC ADVISERS, LLC

CAPITAL INVESTMENT GROUP, INC.

FIRST MONTAUK SECURITIES CORP.

FIRST UNION CAPITAL MARKETS CORP.

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/2007

Series 63

Date: 1/29/1982

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1982

Series 24

Date: 10/29/1991

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

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