Reginald R. Randolph

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CRD#: 2007682

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.

Reginald Ray Randolph, who also goes by Reggie Randolph, Reginald R Randolph, Reginald Randolph, was a registered financial professional .

Reginald is a previously registered financial professional and started their career in finance in 1989. Reginald had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Reggie Randolph | Reginald R Randolph | Reginald Randolph

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)

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

May 24, 2017 - December 13, 2018

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 149124

GREENSBORO, NC

Past

May 24, 2017 - December 13, 2018

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

GREENSOBORO, NC

Past

December 9, 2014 - April 12, 2017

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

GREENSBORO, NC

Past

November 25, 2014 - April 12, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

GREENSBORO, NC

Past

February 11, 2010 - October 27, 2014

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

RALEIGH, NC

Past

January 21, 2010 - October 27, 2014

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

RALEIGH, NC

Past

August 1, 2008 - December 31, 2009

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

RALEIGH, NC

Past

August 1, 2008 - December 31, 2009

NATIONWIDE SECURITIES, LLC

CRD#: 11173

RALEIGH, NC

Past

June 15, 2007 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

RIA

CRD#: 4082

DURHAM, NC

Past

April 13, 2007 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

DURHAM, NC

Past

May 4, 2006 - April 4, 2007

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

RALEIGH, NC

Past

May 4, 2006 - April 4, 2007

PRUCO SECURITIES, LLC.

CRD#: 5685

RALEIGH, NC

Past

January 18, 2002 - April 19, 2006

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

RALEIGH, NC

Past

June 18, 1998 - April 19, 2006

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

June 16, 1997 - May 18, 1998

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

February 28, 1991 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

February 28, 1991 - May 15, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

December 11, 1989 - October 25, 1990

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/14/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/22/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/28/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/8/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/15/1998

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CAPITAL INVESTMENT ADVISORY SERVICES, 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)

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.

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Advisor Monitoring

Firm Stability Insights

Reginald R. Randolph

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL INVESTMENT GROUP, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

1717 CAPITAL MANAGEMENT COMPANY

1717 CAPITAL MANAGEMENT COMPANY

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

SECURITIES AMERICA, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/14/1998

Series 63

Date: 12/22/1989

SIE

Date: 10/1/2018

Series 7

Date: 1/28/1999

Series 6

Date: 12/8/1989

Series 26

Date: 10/15/1998

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

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