RK
Richard B. Keeter
CAPITAL INVESTMENT ADVISORY SERVICES
RALEIGH, NC 27609
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CRD#: 2457447
RK
Professional summary
Richard Brinkley Keeter III, who also goes by Richard Brinkley III Keeter, 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 1994. Richard has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Brinkley Iii Keeter
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. PART OWNER IN BHK INVESTMENTS, LLC, ENGAGING IN PROPERTY OWNERSHIP AND RENTALS. SPEND <5 HRS/MO ON ACTIVITY, WITH <5 HRS/MO DURING TRADING HOURS. LOCATED AT OFFICE OF EMPLOYMENT ADDRESS. INVESTMENT RELATED ACTIVITY PER NASD. BEGUN IN 2001. 2. INSURANCE AGENT WITH KEETER FINANCIAL CORPORATION ENGAGING IN INSURANCE SERVICE AND SALES. SPEND 100 HRS/MONTH ON ACTIVITY. 70% OF TIME DURING TRADING HOURS SPENT ON THIS ACTIVITY. LOCATED AT OFFICE OF EMPLOYMENT ADDRESS. INVESTMENT RELATED ACTIVITY PER NASD DEFINITION. ACTIVITY BEGUN IN 1994.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Brinkley Keeter III'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 16, 2019 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 314-025 West Millbrook Road, Raleigh, NC 27609RIA
CRD#: 149124
RALEIGH, NC
Current
January 20, 1997 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 314 West Millbrook Road Ste 25, Raleigh, NC 27609BD
CRD#: 14752
Raleigh, NC
Past
March 7, 1994 - January 27, 1997
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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(1/20/1997)
IAR
North Carolina(1/16/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124Raleigh, NC 27609TRUST BUT VERIFY
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Contact information
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