Clifford D. Sorel

CAPITAL INVESTMENT ADVISORY SERVICES

SALISBURY, NC 28144

Some features on this profile are disabled

CRD#: 1545457

Professional summary

Clifford Darrell Sorel, who also goes by Cliff Sorel, 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.

Clifford is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Clifford has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Aliases

Cliff Sorel

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifford Darrell Sorel'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

October 15, 2018 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Office #1: 131 E Innes Street Suite 307, Salisbury, NC 28144

RIA

CRD#: 149124

SALISBURY, NC

Current

August 7, 2018 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 131 E. Innes Street Ste 307, Salisbury, NC 28144

CRD#: 14752

SALISBURY, NC

Past

May 27, 2015 - July 13, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SALISBURY, NC

Past

May 22, 2015 - July 13, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SALISBURY, NC

Past

May 6, 2004 - May 27, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SALISBURY, NC

Past

February 21, 2001 - May 27, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SALISBURY, NC

Past

January 1, 1998 - February 22, 2001

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

July 12, 1993 - January 1, 1998

NATIONSSECURITIES

CRD#: 32542

Past

September 24, 1990 - July 12, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 26, 1986 - October 8, 1990

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

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

Mississippi
(10/21/2021)

New Jersey
(2/7/2019)

New York
(8/7/2018)

North Carolina
(10/15/2018)

IAR

North Carolina
(10/15/2018)

South Carolina
(6/29/2020)

Texas
(3/12/2020)

Virginia
(10/16/2018)

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: 5/5/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/6/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/20/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Michael Beatty

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

IAR

Henderson, NV

Allen Canete

RBC CAPITAL MARKETS, LLC

IAR

Custer, SD

Larry Frank

BETTER FINANCIAL EDUCATION

ROCKLIN, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Clifford D. Sorel

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifford Darrell Sorel'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

BANC OF AMERICA INVESTMENT SERVICES, INC.

NATIONSSECURITIES

MORGAN STANLEY DW INC.

H.J. MEYERS & CO., INC.

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/2004

Series 63

Date: 10/6/1986

SIE

Date: 10/1/2018

Series 31

Date: 4/20/2005

Series 7

Date: 9/20/1986

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

Similar Advisors