James L. Cook

CAPITAL INVESTMENT ADVISORY SERVICES

Cumming, GA

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CRD#: 2161682

Professional summary

James Laurel Cook JR is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Cumming, Georgia and CAPITAL INVESTMENT GROUP, INC. located in Cumming, Georgia.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. James has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 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.) INSURANCE - AGENT. 100 EAST SIX FORKS ROAD, SUITE 200, RALEIGH NC 27609. NOT INV REL. SELLING RISK MANAGEMENT PRODUCTS & NON REGISTERED PRODUCTS. START 9/10/18. 40 - 60 HRS/MON. 12 - 20 HRS DURING TRADING HOURS. 2.) PENN MUTUAL. INSURANCE AGENT. START 1/2021. 2210 WOOD COVE DRIVE, CUMMING, GA 30041. AGENT SELLING RISK MANAGEMENT PRODUCTS. ACTIVITY NOT INVESTMENT RELATED. 3 HRS/WK, <2 DURING NORMAL TRADING HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Laurel Cook JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 17, 2018 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 149124

Cumming, GA

Current

September 10, 2018 - Present

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

CUMMING, GA

Past

April 11, 2003 - September 4, 2018

EQUITY SERVICES, INC.

RIA

CRD#: 265

ATLANTA, GA

Past

March 16, 2000 - September 4, 2018

EQUITY SERVICES, INC.

CRD#: 265

ATLANTA, GA

Past

July 31, 1991 - March 1, 2000

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Georgia
(9/10/2018)

IAR

Georgia
(9/18/2018)

Indiana
(3/26/2019)

North Carolina
(12/13/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/21/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/29/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/29/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/4/2000

General Securities Principal Examination

SRO Registrations

FINRA

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

James L. Cook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Laurel Cook JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL INVESTMENT GROUP, INC.

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/21/1995

Series 63

Date: 7/29/1991

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/29/1996

Series 6

Date: 7/29/1991

Series 24

Date: 12/4/2000

FINRA

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

Contact information

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