AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TF

Tammie L. Farrell

CAPITAL INVESTMENT ADVISORY SERVICES
Franklin, NC 28734
Some features on this profile are disabled
CRD#: 2475931
TF

Professional summary

Tammie Lyn Farrell, who also goes by Tammie Lyn Brown, Tammie Lyn Burk, Tammie Burk Farrell, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Franklin, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Franklin, North Carolina.

Tammie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Tammie has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tammie Lyn Brown | Tammie Lyn Burk | Tammie Burk Farrell

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. FARRELL WEALTH & ASSOCIATES, LLC. OWNER/FINANCIAL CONSULTANT. 175 E. MAIN STREET, STE E, FRANKLIN, NC 28734. INVESTMENT RELATED. FINANCIAL ADVISOR FOR SECURITIES AND INSURANCE BUSINESS. STARTED 4/2019. 40 HRS/WK, 0 DURING NORMAL TRADING HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tammie Lyn Farrell'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

October 9, 2012 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Office #1: 175 East Main Street Suite E, Franklin, NC 28734
RIA
CRD#: 149124
Franklin, NC
Current

October 9, 2012 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 175 East Main Street Suite E, Franklin, NC 28734
BD
CRD#: 14752
Franklin, NC
Past

July 17, 2006 - October 9, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
FRANKLIN, NC
Past

October 1, 2000 - October 9, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
FRANKLIN, NC
Past

February 29, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC
Past

February 2, 1998 - February 16, 2000

GUARANTY BROKERAGE SERVICES, INC.

BD
CRD#: 23302
ST. CLOUD, MN
Past

February 17, 1995 - February 11, 1998

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

July 13, 1994 - November 18, 1994

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ATLANTA, GA

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
Alabama
(11/7/2017)
RR
Arizona
(3/23/2018)
RR
Florida
(12/20/2016)
RR
Georgia
(3/17/2017)
RR
Missouri
(7/21/2025)
RR
North Carolina
(10/9/2012)
IAR
North Carolina
(10/9/2012)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/12/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/24/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/12/1994
General Securities Representative Examination
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts8,619
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.

Company Information

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

CRD#: 149124Franklin, NC 28734

TRUST BUT VERIFY

Monitor Tammie Farrell

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Samuel William Spanos
Samuel SpanosAdvisorCheck Check Mark
RAYMOND JAMES & ASSOCIATES, INC.
IAR
RR
Sea Island, GA
Ardal Powell
Ardal PowellAdvisorCheck Check Mark
EAGLE STRATEGIES LLC
IAR
RR
NEW WINDSOR, NY
Kyle Chandler
Kyle ChandlerAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Vancouver, WA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.