RF
Richard L. Fields
CAPITAL INVESTMENT ADVISORY SERVICES
Winston-salem, NC 27103
Some features on this profile are disabled
CRD#: 2009421
RF
Professional summary
Richard Lee Fields is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Winston-salem, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Winston-salem, North Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) SERVE AS INSURANCE AGENT/PRESIDENT WITH INTERGRATED ADVISORY SERVICES PROVIDING INSURANCE SALES AND SERVICE. ALONG WITH B/D SERVICES THRU THIS ENTITY, I SPEND 180 HOURS/MONTH. 100% OF TRADING HOUR TIME IS SPENT WITH IAS. LOCATED AT SAME ADDRESS AS OFFICE OF EMPLOYMENT ADDRESS. PER NASD DEFINITION, THIS IS AN INVESTMENT RELATED ACTIVITY. ACTIVITY BEGUN 2000.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Lee Fields's 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®
NoneExperience
Current
April 1, 2009 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 110 Oakwood Drive Suite 550, Winston-salem, NC 27103RIA
CRD#: 149124
Winston-salem, NC
Current
January 19, 2005 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 110 Oakwood Drive Suite 550, Winston-salem, NC 27103BD
CRD#: 14752
Winston-salem, NC
Past
February 23, 2005 - December 31, 2012
CIC ADVISERS, LLC
RIA
CRD#: 130735
WINSTON-SALEM, NC
Past
April 1, 2004 - February 8, 2005
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
CHARLOTTE, NC
Past
December 31, 2001 - April 1, 2004
C.P. ADVISORY SERVICES
RIA
CRD#: 118052
WINSTON-SALEM, NC
Past
May 3, 1999 - February 8, 2005
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
March 1, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, 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".
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alabama(1/19/2005)
RR
Arizona(11/17/2017)
RR
California(1/19/2005)
RR
Florida(1/19/2005)
RR
Georgia(1/19/2005)
RR
Illinois(1/19/2005)
RR
Kansas(1/19/2005)
RR
Maryland(11/15/2022)
RR
Minnesota(1/19/2005)
RR
Missouri(1/19/2005)
RR
Nebraska(10/8/2019)
RR
New Jersey(1/19/2005)
RR
New York(1/19/2005)
RR
North Carolina(1/19/2005)
IAR
North Carolina(4/1/2009)
RR
Ohio(5/6/2010)
RR
Oregon(2/23/2018)
RR
Pennsylvania(1/19/2005)
RR
South Carolina(1/19/2005)
RR
Texas(12/12/2023)
RR
Utah(1/31/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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
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.
Company Information
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124Winston-salem, NC 27103TRUST BUT VERIFY
Monitor Richard Fields
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
