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Anthony J. Pitta

Some features on this profile are disabled
CRD#: 1958029
AP

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.

Anthony John Pitta was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1989. Anthony had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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. INSURANCE AGENT. SOLICITATION AND SALES OF LIFE, MEDICAL, DISABILITY AND EMPLOYEE GROUP BENEFITS. 485 UNDERHILL BLVD, STE 101, SYOSSET, NY 11791. 2. FRINGE BENEFIT ADVISORS. SOLICITOR. 485 UNDERHILL BLVD, STE 101, SYOSSET, NY. PROVIDING STATUTORY WAGE BENEFITS TO EMPLOYER, ROLE IS ACTING AS SOLICITOR IN TRANSACTION. STARTED MAY 2013. 30 HRS/MONTH, 2 HRS/MONTH DURING TRADING HRS. 3. PARTNERS FOR PROFIT EQUITIES, LLC. OWNER. 485 UNDERHILL BLVD, STE 101, SYOSSET, NY 11791. MANAGEMENT COMPANY FOR FINANCIAL PLANNING PRACTICE. STARTED 2011. 15 HRS/WK, 15 DURING NORMAL TRADING HOURS. 4. PROFESSIONAL FINANCIAL PARTNERS DBA FOR FINANCIAL PLANNING PRACTICE. STARTED 11/2015. 5. FIDUCIARY ADVISORY SERVICES. OWNER. 485 UNDERHILL BLVD, STE 101, SYOSSET, NY 11791. STARTED 2010. INVESTMENT RELATED. Marketing fiduciary services for 401k plans as well evaluations of property and casualty risk of companies. 20 HRS/WEEK, ALL DURING NORMAL TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 2, 2010 - January 30, 2024

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RIA
CRD#: 149124
MELVILLE, NY
Past

July 1, 2010 - January 30, 2024

CAPITAL INVESTMENT GROUP, INC.

BD
CRD#: 14752
MELVILLE, NY
Past

October 14, 2005 - July 6, 2010

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
WOODBURY, NY
Past

May 3, 1999 - July 6, 2010

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
WOODBURY, NY
Past

November 12, 1993 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

February 5, 1992 - November 9, 1993

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

November 13, 1989 - January 31, 1992

MONARCH SECURITIES, INC.

BD
CRD#: 2809
Past

June 12, 1989 - November 9, 1989

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT
Past

June 12, 1989 - November 9, 1989

HOME LIFE INSURANCE COMPANY

BD
CRD#: 4184

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/7/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/15/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/6/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/9/1989
Investment Company Products/Variable Contracts Representative Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts8,619
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.

Company Information

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

CRD#: 149124

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