Michael F. Pearl

CAPITAL INVESTMENT ADVISORY SERVICES

DURHAM, NC 27707

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CRD#: 1309595

Professional summary

Michael Francis Pearl, CFP® is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Durham, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Durham, North Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 22 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.

1. ACCOUNTANT OPERATING UNDER THE NAME MICHAEL F. PEARL, CPA PROVIDING ACCOUNTING SERVICES. 180 HOURS/MONTH SPENT ON ACTIVITY, WITH OVER 95% OF ALL TRADING HOURS SPENT ON THIS. LOCATED AT 1502 W NC HIGHWAY 54, STE 201, DURHAM, NC 27707. NON-INVESTMENT RELATED ACTIVITY. ACTIVITY BEGUN IN 1988.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Francis Pearl'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®

CFP^®

Certified Financial Planner

Experience

Current

January 2, 2013 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Office #1: 1502 W Nc Hwy 54 Ste 201, Durham, NC 27707

RIA

CRD#: 149124

DURHAM, NC

Current

October 23, 2001 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 1502 W Nc Highway 54 Ste 201, Durham, NC 27707

CRD#: 14752

Durham, NC

Past

April 25, 2006 - December 31, 2012

CIC ADVISERS, LLC

RIA

CRD#: 130735

DURHAM, NC

Past

February 26, 2001 - November 1, 2001

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

August 28, 1998 - February 27, 2001

MARION BASS SECURITIES CORPORATION

CRD#: 7961

CHARLOTTE, NC

Past

October 24, 1984 - November 15, 1985

D.I. SECURITIES, INC.

CRD#: 7595

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

Florida
(4/25/2024)

Maryland
(9/7/2023)

North Carolina
(10/23/2001)

IAR

North Carolina
(1/2/2013)

Virginia
(3/22/2005)

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: 11/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/25/1998

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: 8/27/1998

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/19/1984

Direct Participation Programs 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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Michael F. Pearl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Francis Pearl's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL INVESTMENT GROUP, INC.

CIC ADVISERS, LLC

JOSEPHTHAL & CO., INC.

MARION BASS SECURITIES CORPORATION

D.I. SECURITIES, INC.

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/7/1999

Series 63

Date: 9/25/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/27/1998

Series 22

Date: 10/19/1984

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

Contact information

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