Joseph L. Pitea
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.
Joseph Libero Pitea JR, who also goes by Joe Pitea, Joseph Libero Pitea, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1990. Joseph had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2020 - January 25, 2021
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
January 2, 2020 - January 25, 2021
CAPITAL INVESTMENT GROUP, INC.
December 18, 2013 - December 31, 2019
GROVE POINT INVESTMENTS, LLC
November 20, 2013 - December 31, 2019
GROVE POINT INVESTMENTS, LLC
May 24, 2004 - December 18, 2013
LPL FINANCIAL LLC
May 24, 2004 - December 18, 2013
LPL FINANCIAL LLC
December 17, 2003 - May 26, 2004
WS GRIFFITH SECURITIES, INC.
January 31, 2003 - March 6, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - March 6, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 6, 1996 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 30, 1992 - November 18, 1992
IDS LIFE INSURANCE COMPANY
June 30, 1992 - November 18, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
February 21, 1991 - November 11, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 21, 1991 - November 11, 1991
PRUCO SECURITIES, LLC.
September 24, 1990 - October 19, 1990
IDS LIFE INSURANCE COMPANY
September 24, 1990 - October 19, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
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
Exams
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
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.
