Gerald C. Pinkerton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gerald Charles Pinkerton, who also goes by Jerry Pinkerton, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1990. Gerald had worked at 10 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2012 - August 21, 2012
CAPITAL INVESTMENT GROUP, INC.
May 22, 2012 - August 21, 2012
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
May 13, 2010 - February 23, 2012
W. H. REAVES & CO., INC.
May 13, 2010 - February 23, 2012
W. H. REAVES & CO., INC.
July 12, 2007 - December 9, 2009
INTL ADVISORY CONSULTANTS INC.
July 12, 2007 - December 9, 2009
STERNE, AGEE & LEACH, INC.
January 5, 2000 - March 5, 2007
NBC SECURITIES, INC.
December 22, 1994 - November 15, 1999
M. J. WHITMAN, INC.
March 13, 1992 - December 3, 1992
SALOMON BROTHERS INC.
January 1, 1991 - January 24, 1992
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
August 6, 1990 - November 20, 1990
HARTWELL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITAL INVESTMENT GROUP, INC.
CRD#: 14752 / SEC#: , 8-31225
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| R.B.S.B. FAMILY TRUST | OWNER | |
| NICHOLSON, WILLIAM BATEMAN SR | SHAREHOLDER | 2585041 |
| BATTLE, RICHARD STAATS | SHAREHOLDER | 2349045 |
| BROOKS, BENJAMIN TIMOTHY III | PRESIDENT | 2206321 |
| BRYANT, RICHARD KING | CEO/TREASURER/FINOP/CO-TRUSTEE | 1069685 |
| DRESSLER, KURT ALAN | SHAREHOLDER | 2381036 |
| EDDINS, WILLIAM HAROLD JR | ASSISTANT VICE PRESIDENT | 1724993 |
| HARDEN, RONALD TODD | SHAREHOLDER | 1528810 |
| KING, RONALD LEE | CHIEF COMPLIANCE OFFICER | 2530489 |
| MCDONALD, CORNELIUS TRAWICK III | ASSISTANT VICE PRESIDENT | 1288377 |
| SADLER, SUZANNE BRYANT | CO-TRUSTEE | 6313854 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
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.
