Welton C. Smith
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 Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 4, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Welton Cortez Smith JR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
January 7, 2013 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 503 S. Main St Ste 6002, Mauldin, SC 29662January 2, 2004 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 503 S. Main Street Ste 6002, Mauldin, SC 29662July 28, 2004 - December 31, 2012
CIC ADVISERS, LLC
October 12, 1994 - December 31, 2003
W.C. SMITH & COMPANY, INC.
August 6, 1993 - October 17, 1994
CAPITAL INVESTMENT GROUP, INC.
April 23, 1992 - August 9, 1993
MCCARLEY AND ASSOCIATES, INC.
June 2, 1988 - April 1, 1992
WACHOVIA SECURITIES, INC.
March 7, 1988 - June 9, 1988
ESSEX FINANCIAL SERVICES, INC.
February 24, 1987 - April 1, 1992
WACHOVIA SECURITIES, INC.
Primary Firm SEC Registration
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124 / SEC#: 801-69846
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124 / SEC#: 801-69846
Contact information
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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Company Information
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124Mauldin, SC 29662TRUST BUT VERIFY
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