Charles L. Sowers

CAPITAL INVESTMENT ADVISORY SERVICES

SALISBURY, NC 28144

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CRD#: 1226861

Professional summary

Charles Lewis Sowers, who also goes by Charlie L Sowers, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Salisbury, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Salisbury, North Carolina.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Charles has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charlie L Sowers

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)MIDWAY INVESTMENTS LLC; SALISBURY, NC; MOBILE HOME RENTALS; CO-OWNER; START DATE 7/2002; 0 HRS PER MONTH; RENTAL ACTIVITIES ARE HANDLDED BY A REAL ESTATE PROPERTY MANAGER. 2)CL&EKS, INC; SALISBURY, NC; SUPPORT COMPANY/DBA (OWNER); NOT INVESTMENT RELATED; HANDLES ACCOUNTING; 05/2015-PRESENT; 0 HOURS PER MONTH, 0 HOURS DURING TRADING; OWNER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Lewis Sowers'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

June 20, 2019 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Office #1: 120 E Council St, Salisbury, NC 28144

RIA

CRD#: 149124

SALISBURY, NC

Current

June 20, 2019 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 120 East Council Street Suite 600, Salisbury, NC 28144

CRD#: 14752

Salisbury, NC

Past

May 27, 2015 - June 21, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SALISBURY, NC

Past

May 22, 2015 - June 21, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SALISBURY, NC

Past

July 21, 2010 - May 27, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SALISBURY, NC

Past

July 21, 2010 - May 27, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SALISBURY, NC

Past

June 1, 2009 - July 29, 2010

MORGAN STANLEY

RIA

CRD#: 149777

SALISBURY, NC

Past

June 1, 2009 - July 29, 2010

MORGAN STANLEY

CRD#: 149777

SALISBURY, NC

Past

December 31, 2001 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SALISBURY, NC

Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SALISBURY, NC

Past

September 26, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 25, 1984 - September 28, 1988

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

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

Illinois
(6/20/2019)

Indiana
(10/28/2019)

Kentucky
(1/23/2020)

North Carolina
(6/20/2019)

IAR

North Carolina
(6/20/2019)

South Carolina
(6/20/2019)

Tennessee
(6/20/2019)

Virginia
(6/20/2019)

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: 8/20/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/27/1984

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: 1/21/1984

General Securities Representative 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

Charles L. Sowers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Lewis Sowers's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL INVESTMENT GROUP, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

THE ROBINSON-HUMPHREY COMPANY, LLC

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/1991

Series 63

Date: 1/27/1984

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1984

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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