DT
Delores L. Thomsen
CAPITAL INVESTMENT ADVISORY SERVICES
GREENVILLE, SC 29609
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CRD#: 1081628
DT
Professional summary
Delores Lomax Thomsen, who also goes by Del Thomsen, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Greenville, South Carolina and CAPITAL INVESTMENT GROUP, INC. located in Greenville, South Carolina.
Delores is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Delores has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Del Thomsen
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. I SERVE AS AN INSURANCE AGENT WITH CONSOLIDATED INSURED BENEFITS PROVIDING INSURANCE SALES AND SERVICE. APPROXIMATELY 20 HOURS/MONTH ARE SPENT ON THIS ACTIVITY, OF WHICH ABOUT HALF IS DURING TRADING HOURS. ACTIVITY IS CONDUCTED AT MY OFFICE OF EMPLOYMENT ADDRESS. AN INVESTMENT-RELATED ACTIVITY PER NASD DEFINITION. started 01/1989 2. ABSTRATIKA, OWNER/ARTIST. MAINTAINS A WEBSITE TO SELL PERSONAL ART ON THE INTERNET. NO TIME IS CONSUMED DURING BUSINESS HOURS. NOT INVESTMENT RELATED. STARTED 02/01/2008 3. 1541 WADE HAMPTON, LLC. OWNDER/LANDLORD. COLLECT RENT, RENEW LEASES AS NEEDED. PAY BILLS FOR THE BUILDING. STARTED 3/7/2007. 4. 237 WADE HAMPTON, LLC. PART OWNER/VICE PRESIDENT. 1541 WADE HAMPTON BLVD, GREENVILLE, SC 29609. 2 REAL ESTATE HOMES FOR RENTAL PROPERTIES. NOT INVESTMENT RELATED. 1 HR/MONTH, 0 DURING NORMAL TRADING HRS. STARTED 1/2016.
CRS (Client Relationship Summary) - RIA
Click below to view Delores Lomax Thomsen's 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®
NoneExperience
Current
January 7, 2013 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 1541 Wade Hampton Blvd, Greenville, SC 29609RIA
CRD#: 149124
GREENVILLE, SC
Current
August 5, 1993 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 1541 Wade Hampton Blvd., Greenville, SC 29609BD
CRD#: 14752
Greenville, SC
Past
August 31, 2006 - December 31, 2012
CIC ADVISERS, LLC
RIA
CRD#: 130735
GREENVILLE, SC
Past
February 14, 1991 - August 9, 1993
MCCARLEY AND ASSOCIATES, INC.
BD
CRD#: 16128
GREENVILLE, SC
Past
December 15, 1982 - November 27, 1990
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
CI
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CAPITAL INVESTMENT ADVISORY SERVICES, LLC | WHETRO ADVISORS | TRUST COMPANY OF NORTH CAROLINA | THE WEALTH GROUP | THE PORTFOLIO MANAGEMENT GROUP | SENTINEL CAPITAL SOLUTIONS | RISING TIDE INC. | PIEDMONT PRIVATE WEALTH | MUMY FINANCIAL ADVISORS, LLC | MASONBORO ADVISORS | INTEGRATED ADVISORY SERVICES, LLC | CIC ADVISERS, 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.RR
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
RR
Arizona(2/14/2023)
RR
California(3/1/2000)
RR
Georgia(8/5/1993)
RR
Indiana(11/29/2021)
RR
New York(4/1/2020)
RR
North Carolina(8/30/1993)
RR
South Carolina(8/5/1993)
IAR
South Carolina(1/7/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CAPITAL INVESTMENT ADVISORY SERVICES, LLC | WHETRO ADVISORS | TRUST COMPANY OF NORTH CAROLINA | THE WEALTH GROUP | THE PORTFOLIO MANAGEMENT GROUP | SENTINEL CAPITAL SOLUTIONS | RISING TIDE INC. | PIEDMONT PRIVATE WEALTH | MUMY FINANCIAL ADVISORS, LLC | MASONBORO ADVISORS | INTEGRATED ADVISORY SERVICES, LLC | CIC ADVISERS, LLC
CRD#: 149124 / SEC#: 801-69846
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)Upgrade to AdvisorCheck Premium
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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
Regulatory assets under management
| Total Number of Accounts | 8,619 |
| AUM (Assets Under Management) | $ 1,930,938,262 |
Red Flags
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Company Information
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124Greenville, SC 29609TRUST BUT VERIFY
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Contact information
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