RB
Roy T. Bass
CAPITAL INVESTMENT ADVISORY SERVICES
FUQUAY VARINA, NC 27526
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CRD#: 1424167
RB
Professional summary
Roy Terry Bass, CFP®, who also goes by Terry Bass, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Fuquay Varina, North Carolina and CAPITAL INVESTMENT BROKERAGE, INC. located in Fuquay-varina, North Carolina.
Roy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Roy 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
Terry Bass
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 PRESIDENT/OWNER OF STRATEGIC ASSET MANAGEMENT CONSULTANTS, INC., LOCATED AT 155 JACKSON RD. IN FUQUAY-VARINA, NC. BEGUN IN 1993, I MANAGE ASSETS (SECURITIES, REAL ESTATE, PERSONAL CARE, ETC.) SPENDING APPROX. 10 HRS/MONTH ON THIS INVESTMENT RELATED BUSINESS, NONE OF WHICH IS DURING NORMAL TRADING HOURS. 2. SINCE 1997, I HAVE BEEN WITH CHARITABLE MANAGEMENT ADVISORS, INC. AS VP PROVIDING CONSULTING TO CHARITIES ON PLANNED GIVING PROCEDURES AND STRATEGIES. I SPEND 8 HOURS/MONTH ON SAID INVESTMENT ACTIVITY, NONE OF WHICH IS NORMALLY DURING NORMAL TRADING HOURS. I WORK OUT OF THE SAME JACKSON RD. OFFICE. 3. THE HILDA T. COPE TRUST. CO-TRUSTEE. 850 FRIENDLY DRIVE, GOLDSBORO, NC 27530. PERFORMING DUTIES AS DESCRIBED IN THE TRUST DOCUMENT TO INCLUDE: MANAGEMENT OF SECURITIES, SALE OF RESIDENCE, DISBURSEMENT OF ALL ASSETS AND ACCOUNTING. STARTED 2017. ACTIVITY IS INVESTMENT RELATED. 3 HRS/WEEK, 2 HRS DURING NORMAL TRADING HOURS. 4. EMIL H. RUEGNER REVOCABLE TRUST. CO-TRUSTEE. 331 BEAR CREEK DRIVE, HAMPSTEAD, NC 28442. MANAGE ASSETS OF THE TRUST, BUDGETING AND TAX MANAGEMENT. ACTIVITY IS INVESTMENT RELATED. STARTED 3/2017. 2-4 HRS / WK, 2-4 DURING NORMAL TRADING HOURS. 5. BASS BRENNAN ADVISORY, LLC. CO-MANAGER. 155 JACKSON RD., FUQUAY-VARINA, NC 27526. ENTITY TO FACILITATE THE PURCHASE OF RISING TIDE, INC. STARTED 1.2023. INVESTMENT RELATED. 2 HRS/WK, 0 HRS DURING NORMAL TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Roy Terry Bass'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®
CFP®
Start date: 1994
Experience
Current
January 2, 2013 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 155 Jackson Road, Fuquay Varina, NC 27526RIA
CRD#: 149124
FUQUAY VARINA, NC
Current
April 2, 1997 - Present
CAPITAL INVESTMENT BROKERAGE, INC.
BD
CRD#: 40657
FUQUAY-VARINA, NC
Past
April 25, 2006 - December 31, 2012
CIC ADVISERS, LLC
RIA
CRD#: 130735
FUQUAY-VARINA, NC
Past
September 24, 1992 - April 9, 1997
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
RALEIGH, NC
Past
October 2, 1990 - September 25, 1992
MARION BASS SECURITIES CORPORATION
BD
CRD#: 7961
CHARLOTTE, NC
Past
January 12, 1990 - October 11, 1990
PREMIER CAPITAL, INC.
BD
CRD#: 17095
Past
November 19, 1989 - January 18, 1990
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
March 13, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
November 20, 1985 - April 7, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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
Delaware(11/19/2020)
RR
District of Columbia(12/13/2021)
RR
Florida(4/2/1997)
RR
Maine(11/16/2017)
RR
Maryland(11/19/2020)
RR
New York(11/16/2017)
RR
North Carolina(4/2/1997)
IAR
North Carolina(1/2/2013)
RR
Ohio(4/4/2016)
RR
Pennsylvania(11/4/1997)
RR
South Carolina(12/20/2007)
RR
Tennessee(11/19/2020)
RR
Texas(11/23/2015)
RR
Virginia(4/11/2000)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124Fuquay Varina, NC 27526TRUST BUT VERIFY
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