Len B. Graddy

CAPITAL INVESTMENT ADVISORY SERVICES

HINESVILLE, GA 31313

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CRD#: 226872

Professional summary

Len Broughton Graddy, who also goes by Len Broughton Graddy Jr, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Hinesville, Georgia and CAPITAL INVESTMENT GROUP, INC. located in Hinesville, Georgia.

Len is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Len has worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, Series 7TO, SIE, Series 1 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Len Broughton Graddy Jr

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. GRADDY AND ASSOCIATES FINANCIAL GROUP. OWNER. 101 A N. MAIN STREET, HINESVILLE, GA 31313. FINANCIAL PLANNING WITH LIFE, ANNUITY, LTC BUSINESS. ACTIVITY IS INVESTMENT RELATED. 40 HRS PER WK, ALL DURING NORMAL TRADING HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Len Broughton Graddy'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

March 22, 2018 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Office #1: 101 A North Main Street, Hinesville, GA 31313

RIA

CRD#: 149124

HINESVILLE, GA

Current

March 8, 2018 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 101 A North Main Street, Hinesville, GA 31313

CRD#: 14752

Hinesville, GA

Past

January 17, 2013 - April 8, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

HINESVILLE, GA

Past

January 14, 2013 - April 8, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

HINESVILLE, GA

Past

March 20, 2006 - November 9, 2012

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

HINESVILLE, GA

Past

October 26, 2005 - November 9, 2012

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

HINESVILLE, GA

Past

May 2, 2003 - October 28, 2005

AMERICAN GENERAL SECURITIES INCORPORATED

RIA

CRD#: 13626

HINESVILLE, GA

Past

October 1, 2002 - October 28, 2005

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

June 16, 1973 - October 1, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

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

Alabama
(3/8/2018)

Florida
(3/8/2018)

Georgia
(3/8/2018)

IAR

Georgia
(3/22/2018)

Maryland
(3/8/2018)

Massachusetts
(3/8/2018)

Michigan
(3/8/2018)

North Carolina
(11/26/2025)

South Carolina
(3/8/2018)

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: 7/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/8/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 6/16/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/20/2001

Investment Company Products/Variable Contracts 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.

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Len B. Graddy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Len Broughton Graddy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL INVESTMENT GROUP, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL EQUITY SERVICES CORPORATION

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/1999

Series 63

Date: 5/8/1991

Series 6TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 6/16/1973

Series 26

Date: 9/20/2001

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

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