RK
Ronald L. King
CAPITAL INVESTMENT COUNSEL
Raleigh, NC 27609
Some features on this profile are disabled
CRD#: 2530489
RK
Professional summary
Ronald Lee King, who also goes by Ron King, is a registered financial advisor currently at CAPITAL INVESTMENT COUNSEL INC located in Raleigh, North Carolina and CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Raleigh, North Carolina.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Ronald has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 6TO, Series 62, Series 99TO, SIE, Series 7, Series 14, Series 53, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ron King
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.
RL KING & COMPANY. 4100 BALSAM DRIVE, RALEIGH, NC. PRESIDENT. SECURITIES LITIGATION CASE REVIEW AND ASSESSMENT, EXPERT TESTIMONY - CASE REVIEWER. 5-10 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Lee King'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
November 2, 2007 - Present
CAPITAL INVESTMENT COUNSEL INC
Office #1: 100 E. Six Forks Road, Ste. 200, Raleigh, NC 27609RIA
CRD#: 104591
Raleigh, NC
Current
July 8, 2011 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 100 E. Six Forks Road Suite 200, Raleigh, NC 27609RIA
CRD#: 149124
Raleigh, NC
Current
November 2, 2007 - Present
CAPITAL INVESTMENT BROKERAGE, INC.
Office #1: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609Office #2: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609BD
CRD#: 40657
Raleigh, NC
Current
November 2, 2007 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609Office #2: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609BD
CRD#: 14752
Raleigh, NC
Past
November 2, 2007 - December 31, 2012
CIC ADVISERS, LLC
RIA
CRD#: 130735
RALEIGH, NC
Past
March 24, 2004 - August 2, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
RALEIGH, NC
Past
November 8, 2001 - August 2, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
RALEIGH, NC
Past
February 9, 2001 - November 1, 2001
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
August 25, 1994 - February 16, 2001
MARION BASS SECURITIES CORPORATION
BD
CRD#: 7961
CHARLOTTE, 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 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(1/28/2008)
RR
Alaska(1/28/2008)
RR
Arizona(1/28/2008)
RR
Arkansas(1/28/2008)
RR
California(1/28/2008)
RR
Colorado(1/28/2008)
RR
Connecticut(1/28/2008)
RR
Delaware(1/28/2008)
RR
District of Columbia(1/28/2008)
RR
Florida(1/28/2008)
RR
Georgia(1/28/2008)
RR
Hawaii(1/28/2008)
RR
Idaho(1/28/2008)
RR
Illinois(1/28/2008)
RR
Indiana(1/28/2008)
RR
Iowa(1/28/2008)
RR
Kansas(1/28/2008)
RR
Kentucky(1/28/2008)
RR
Louisiana(1/28/2008)
RR
Maine(1/28/2008)
RR
Maryland(1/28/2008)
RR
Massachusetts(1/28/2008)
RR
Michigan(1/28/2008)
RR
Minnesota(1/28/2008)
RR
Mississippi(1/28/2008)
RR
Missouri(1/28/2008)
RR
Montana(1/28/2008)
RR
Nebraska(1/28/2008)
RR
Nevada(1/28/2008)
RR
New Hampshire(1/28/2008)
RR
New Jersey(1/28/2008)
RR
New Mexico(1/28/2008)
RR
New York(1/28/2008)
IAR
North Carolina(11/2/2007)
RR
North Carolina(1/28/2008)
RR
North Dakota(1/28/2008)
RR
Ohio(1/28/2008)
RR
Oklahoma(1/28/2008)
RR
Oregon(1/28/2008)
RR
Pennsylvania(1/28/2008)
RR
Puerto Rico(12/23/2009)
RR
Rhode Island(1/28/2008)
RR
South Carolina(1/28/2008)
RR
South Dakota(1/28/2008)
RR
Tennessee(1/28/2008)
RR
Texas(1/28/2008)
IAR
Texas(5/5/2014)
RR
Utah(1/28/2008)
RR
Vermont(1/28/2008)
RR
Virgin Islands(12/23/2009)
RR
Virginia(1/28/2008)
IAR
Virginia(7/8/2011)
RR
Washington(1/28/2008)
RR
West Virginia(1/28/2008)
RR
Wisconsin(1/28/2008)
RR
Wyoming(1/28/2008)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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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