Ferrell L. Rollins
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.
Ferrell Lee Rollins JR was a registered financial professional .
Ferrell is a previously registered financial professional and started their career in finance in 1986. Ferrell had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 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
November 18, 2005 - September 11, 2019
CAPITAL INVESTMENT GROUP, INC.
August 15, 2003 - November 10, 2005
DAVENPORT & COMPANY LLC
October 1, 1999 - September 9, 2003
WELLS FARGO CLEARING SERVICES, LLC
December 5, 1996 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
September 18, 1990 - December 20, 1996
LEGG MASON WOOD WALKER, INCORPORATED
July 17, 1989 - September 28, 1990
WACHOVIA SECURITIES, INC.
December 16, 1988 - July 25, 1989
THOMSON MCKINNON SECURITIES INC.
June 25, 1986 - September 28, 1990
WACHOVIA SECURITIES, INC.
March 21, 1986 - December 22, 1988
WACHOVIA SECURITIES, INC.
January 14, 1986 - April 8, 1986
PFS INVESTMENTS 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.
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