DP
Donald B. Parrott
CAPITAL INVESTMENT ADVISORY SERVICES
GASTONIA, NC 28054
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CRD#: 2456508
DP
Professional summary
Donald Benton Parrott, who also goes by Donald B Parrott, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Gastonia, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Gastonia, North Carolina.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Donald has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Donald B Parrott
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 WITH PARROTT INSURANCE & BENEFITS PROVIDING INSURANCE SALES AND SERVICE. SPEND >120 HOURS/MONTH ON ACTIVITY, WITH > 90% OF ALL TRADING HOURS SPENT ON ACTIVITY. LOCATED AT SAME ADDRESS AS OFFICE OF EMPLOYMENT. INVESTMENT RELATED. ACTIVITY BEGUN IN 1980S. 2. SHERWOOD ACRES PROPERTIES, PART OWNER. FAMILY FARM AND RENTAL PROPERTY THAT WAS INHERITED OVER 15 YEARS AGO. OVERSEE PROPERTY AND PAY BILLS. NOT INVESTMENT RELATED, <1 HR/WK, <1 HR DURING TRADING HRS. 3. FIRST PRESBYTERIAN CHURCH, GASTONIA, NC. COMMITTEE MEMBER FOR PRESBYTERIAN ENDOWMENT TRUST. 1621 E. GARRISON BLVD, GASTONIA, NC 28052. SERVE ON COMMITTEE THAT MAKES RECOMMENDATIONS TO CHURCH FINANCIAL COMMITTEE ON GRANTS. NOT COMPENSATED. NOT INVESTMENT RELATED. 0 HRS/WK, NONE DURING NORMAL TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Donald Benton Parrott'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
January 2, 2013 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 1542 B Union Road Ste 102, Gastonia, NC 28054RIA
CRD#: 149124
GASTONIA, NC
Current
April 15, 1996 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 1542b Union Road Ste 102, Gastonia, NC 28054BD
CRD#: 14752
Gastonia, NC
Past
July 6, 2009 - December 31, 2012
CIC ADVISERS, LLC
RIA
CRD#: 130735
RALEIGH, NC
Past
February 25, 1994 - March 5, 1996
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, 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".
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(4/18/1996)
IAR
North Carolina(1/2/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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
Regulatory assets under management
| Total Number of Accounts | 8,619 |
| AUM (Assets Under Management) | $ 1,930,938,262 |
Red Flags
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Company Information
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124Gastonia, NC 28054TRUST BUT VERIFY
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Contact information
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