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RR

Richard E. Rose

CAPITAL INVESTMENT ADVISORY SERVICES
Raleigh, NC 27609
Some features on this profile are disabled
CRD#: 2200360
RR

Professional summary

Richard Elwood Rose III, CLU®, who also goes by Richard Elwood III Rose, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Raleigh, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Raleigh, North Carolina.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Richard Elwood Iii Rose

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. SALES AND SERVICE OF EXISTING ACCOUNTS - FIXED INSURANCE PRODUCTS. NOT INVESTMENT RELATED. 5 HRS/WK, <5 DURING NORMAL TRADING HRS. STARTED 02/2016.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Elwood Rose III'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®
CLU®

Chartered Life Underwriter

Experience

Current

January 21, 2016 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Office #1: 100 E. Six Forks Road Suite 200, Raleigh, NC 27609
RIA
CRD#: 149124
Raleigh, NC
Current

January 21, 2016 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609
BD
CRD#: 14752
Raleigh, NC
Current

October 30, 2025 - Present

CAPITAL INVESTMENT BROKERAGE, INC.

Office #1: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609
BD
CRD#: 40657
Raleigh, NC
Past

October 6, 2004 - September 22, 2015

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
GREENSBORO, NC
Past

July 1, 1996 - September 22, 2015

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
GREENSBORO, NC
Past

January 7, 1992 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

January 7, 1992 - June 10, 1996

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, 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".
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
North Carolina
(1/21/2016)
IAR
North Carolina
(1/21/2016)
RR
South Carolina
(10/30/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/1/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/31/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/24/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/31/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/17/2008
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/11/2002
General Securities Principal Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts8,619
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#: 149124Raleigh, NC 27609

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