Welton Cortez Smith Jr.
Professional Summary
Welton Cortez Smith JR., who also goes by Skip Smith, Welton C Smith, Welton Cortez Smith Jr, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Mauldin, South Carolina and CAPITAL INVESTMENT GROUP, INC. located in Mauldin, South Carolina. Welton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Welton has worked at 7 firms and has passed the...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Skip Smith, Welton C Smith, Welton Cortez Smith Jr
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
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
Contact Information
Main Address
100 E. Six Forks Road Suite 200, Raleigh, NC 27609Mailing Address
P.o. Box 32249, Raleigh, NC 27622Phone Number
(919) 831-2370# of Employees
91SEC notice filing (39 States and Territories)
Registered to provide investment advisory services in 39 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
9,862AUM (Assets Under Management)
$2,393,599,531Similar Advisors
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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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(6/10/2019)
(12/12/2006)
(11/28/2005)
(4/20/2015)
(10/11/2004)
(1/8/2010)
(11/2/2012)
(2/1/2012)
(1/2/2004)
(10/15/2024)
(1/2/2004)
(1/7/2013)
(12/12/2006)
(9/28/2011)
(12/12/2006)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Welton Cortez Smith JR.'s CRS (Customer Relationship Summary).
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