RB
Richard S. Battle
CAPITAL INVESTMENT COUNSEL
RALEIGH, NC 27609
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CRD#: 2349045
RB
Professional summary
Richard Staats Battle is a registered financial advisor currently at CAPITAL INVESTMENT COUNSEL INC located in Raleigh, North Carolina and CAPITAL INVESTMENT BROKERAGE, INC. located in Rocky Mount, North Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 3 firms and has passed the Series 63, SIE, Series 7 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) GEORGE GORDON BATTLE CEMETARY TRUST DTD. CO-TRUSTEE. 2820 LAKEVIEW DRIVE RALEIGH, NC 27609. FILE TAX RETURN AND ANNUAL ACCOUNTING. YES - INVESTMENT RELATED. 2) RALPH SHERWOOD ROBINS TRUST. CO-TRUSTEE. 16 HADLEY PARK COURT GREENSBORO, NC 27407. YES - INVESTMENT RELATED. 3) ROCKY MOUNT ACADEMY. TRUSTEE FOR TURNER W. BATTLE SCHOLARSHIP FUND.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Staats Battle's 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®
NoneExperience
Current
September 26, 2005 - Present
CAPITAL INVESTMENT COUNSEL INC
Office #1: 100 E. Six Forks Road Suite 200, Raleigh, NC 27609RIA
CRD#: 104591
RALEIGH, NC
Current
April 2, 1997 - Present
CAPITAL INVESTMENT BROKERAGE, INC.
Office #1: 171 North Winstead Avenue, Rocky Mount, NC 27804Office #2: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609Office #3: 2626 Glenwood Ave Suites 190 And 195, Raleigh, NC 27608BD
CRD#: 40657
Rocky Mount, NC
Current
February 18, 2011 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609BD
CRD#: 14752
Raleigh, NC
Past
May 20, 1993 - April 9, 1997
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
RALEIGH, NC
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 COUNSEL INC
CAPITAL INVESTMENT BROKERAGE, INC. | CAPITAL INVESTMENT COUNSEL INC | CAPITAL INVESTMENT COMPANIES
CRD#: 104591 / SEC#: 801-20824
RIA
Registered Investment Advisory firm - (3/20/1984 Approved)North Carolina
Registered Investment Advisory firm - (8/30/2004 Terminated)Virginia
Registered Investment Advisory firm - (3/26/2003 Terminated)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
Alabama(4/15/1997)
RR
Arizona(1/14/2002)
RR
California(1/9/2001)
RR
Colorado(5/10/2005)
RR
District of Columbia(12/17/1998)
RR
Florida(4/2/1997)
RR
Georgia(4/2/1997)
RR
Illinois(4/2/1997)
RR
Indiana(3/23/2016)
RR
Kentucky(1/3/2006)
RR
Maryland(4/2/1997)
RR
Missouri(5/30/2012)
RR
New Jersey(5/10/2005)
RR
New York(1/28/2005)
RR
North Carolina(4/2/1997)
IAR
North Carolina(10/13/2005)
RR
Ohio(11/25/1997)
RR
Pennsylvania(1/9/2007)
RR
South Carolina(4/2/1997)
RR
Tennessee(8/26/1997)
RR
Texas(2/27/1998)
RR
Virginia(4/2/1997)
RR
Washington(4/13/2007)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAPITAL INVESTMENT COUNSEL INC
CAPITAL INVESTMENT BROKERAGE, INC. | CAPITAL INVESTMENT COUNSEL INC | CAPITAL INVESTMENT COMPANIES
CRD#: 104591 / SEC#: 801-20824
RIA
Registered Investment Advisory firm - (3/20/1984 Approved)North Carolina
Registered Investment Advisory firm - (8/30/2004 Terminated)Virginia
Registered Investment Advisory firm - (3/26/2003 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 E. Six Forks Road, Ste. 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
10
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,231 |
| AUM (Assets Under Management) | $ 889,391,757 |
Red Flags
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Company Information
CAPITAL INVESTMENT COUNSEL INC
CRD#: 104591Raleigh, NC 27609TRUST BUT VERIFY
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Contact information
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