Benjamin T. Brooks
Professional summary
Benjamin Timothy Brooks III, who also goes by Ben Brooks, 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.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Benjamin has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Timothy Brooks III's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2013 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 100 E. Six Forks Road Suite 200, Raleigh, NC 27609August 31, 2001 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609June 1, 2006 - December 31, 2012
CIC ADVISERS, LLC
February 9, 2001 - September 19, 2001
JOSEPHTHAL & CO., INC.
February 3, 1997 - February 20, 2001
MARION BASS SECURITIES CORPORATION
February 26, 1992 - February 28, 1997
FIRST UNION CAPITAL MARKETS CORP.
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
(11/14/2017)
(7/19/2010)
(11/12/2014)
(12/8/2021)
(12/8/2021)
(8/31/2001)
(1/2/2013)
(11/12/2014)
(8/31/2001)
(8/23/2018)
(8/31/2001)
Exams
Series 8
Date: 2/26/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124Raleigh, NC 27609TRUST BUT VERIFY
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