Richard C. Pellegrini

Some features on this profile are disabled

CRD#: 2553828

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Charles Pellegrini, CFP®, CIMA®, who also goes by Richard Charles Pellegrini, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Investment Planning

Tax Planning

Estate Planning

Insurance Planning

Comprehensive Financial Planni...

Retirement Planning

Employee and Employer Plan Ben...

Are you a "fiduciary"?

Aliases

Richard Charles Pellegrini

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) RICHARD C. PELLEGRINI, 626 Budleigh Circle, Timonium MD 21093, 12/2024, OWNER, REAL ESTATE, NIR, 1 HR/MO - 0 HR/MO TRADING. 2) Renting of primary residence. Potential annual rent of $37,200.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2007

CIMA^®

Certified Investment Management Analyst

Experience

Past

April 3, 2025 - June 18, 2025

CAPITAL INVESTMENT ADVISORS

RIA

CRD#: 118269

WASHINGTON D.C., DC

Past

January 2, 2025 - May 16, 2025

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Washington, DC

Past

August 5, 2011 - April 3, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

COCKEYSVILLE, MD

Past

August 5, 2011 - April 3, 2024

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

COCKEYSVILLE, MD

Past

August 16, 1995 - August 9, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TOWSON, MD

Past

December 14, 1994 - August 9, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TOWSON, MD

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".

CAPITAL INVESTMENT ADVISORS

CRD#: 118269 / SEC#: 801-110008

RIA

Registered Investment Advisory firm - (2/27/2017 Approved)

Delaware

Registered Investment Advisory firm - (3/15/2017 Terminated)

District of Columbia

Registered Investment Advisory firm - (3/13/2017 Terminated)

Maryland

Registered Investment Advisory firm - (4/14/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (3/15/2017 Terminated)

Virginia

Registered Investment Advisory firm - (3/13/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/3/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/20/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/5/1994

General Securities Representative Examination

Current Firm

CAPITAL INVESTMENT ADVISORS

CRD#: 118269 / SEC#: 801-110008

RIA

Registered Investment Advisory firm - (2/27/2017 Approved)

Delaware

Registered Investment Advisory firm - (3/15/2017 Terminated)

District of Columbia

Registered Investment Advisory firm - (3/13/2017 Terminated)

Maryland

Registered Investment Advisory firm - (4/14/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (3/15/2017 Terminated)

Virginia

Registered Investment Advisory firm - (3/13/2017 Terminated)

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

1000 Potomac Street N.w. Suite 300, Washington D.c., DC 20007

Mailing Address

Phone number

(240) 482-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIA FORM ADV 2A FIRM BROCHURE (9/25/2025)

Regulatory assets under management

Total Number of Accounts	1,416
AUM (Assets Under Management)	$ 302,256,086

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard C. Pellegrini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/1995

Series 63

Date: 12/20/1994

SIE

Date: 10/1/2018

Series 7

Date: 12/5/1994

Current Firm

CAPITAL INVESTMENT ADVISORS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL INVESTMENT ADVISORS

TRUST BUT VERIFY

Contact information

Similar Advisors