Charles W. Pendergraft
Professional summary
Charles William Pendergraft II, who also goes by Charles William II Pendergraft, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Charlotte, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Charlotte, North Carolina.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Charles has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Charles William Pendergraft II's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2011 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 7421 Carmel Executive Park Drive Suite 310, Charlotte, NC 28226June 13, 2011 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 7421 Carmel Executive Park Drive Ste 310, Charlotte, NC 28226August 21, 2009 - June 17, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 2009 - June 17, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 29, 2002 - August 26, 2009
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - August 26, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 30, 2000 - June 15, 2002
WACHOVIA SECURITIES, INC.
April 16, 1998 - October 13, 2000
FIRST CITIZENS INVESTOR SERVICES, INC.
May 17, 1995 - July 29, 1998
UVEST FINANCIAL SERVICES GROUP, INC.
January 16, 1991 - March 31, 1992
ROBERT W. BAIRD & CO. INCORPORATED
January 16, 1991 - March 31, 1992
NORTHWESTERN MUTUAL INVESTMENT 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
(6/17/2011)
(6/17/2011)
(10/25/2011)
(7/18/2011)
(6/17/2011)
(6/17/2011)
(6/10/2019)
(6/17/2011)
(9/28/2018)
(6/17/2011)
(6/16/2011)
(6/17/2011)
(6/17/2011)
(3/18/2025)
(6/17/2011)
(6/17/2011)
(6/13/2011)
(6/30/2011)
(6/17/2011)
(6/17/2011)
(6/17/2011)
(2/16/2024)
(6/17/2011)
(6/17/2011)
Exams
FINRA
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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