WN
William B. Nicholson
CAPITAL INVESTMENT GROUP
Raleigh, NC 27609
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CRD#: 2585041
WN
Professional summary
William Bateman Nicholson SR, CFP®, ChFC®, who also goes by Bill Nicholson, William B Nicholson, is a registered financial professional currently at CAPITAL INVESTMENT GROUP, INC. located in Raleigh, North Carolina and CAPITAL INVESTMENT BROKERAGE, INC. located in Raleigh, North Carolina.
William is registered as a RR (Registered Representative) and started their career in finance in 1995. William has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bill Nicholson | William B Nicholson
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view William Bateman Nicholson SR'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®
CFP®
Start date: 2012
Experience
Current
December 17, 1996 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609BD
CRD#: 14752
Raleigh, NC
Current
November 20, 2019 - Present
CAPITAL INVESTMENT BROKERAGE, INC.
Office #1: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609BD
CRD#: 40657
Raleigh, NC
Past
February 15, 1995 - November 13, 1996
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(1/10/2018)
RR
Alaska(1/5/2024)
RR
Arizona(1/16/2018)
RR
Arkansas(1/11/2018)
RR
California(1/10/2018)
RR
Colorado(1/16/2018)
RR
Connecticut(1/12/2018)
RR
Delaware(1/18/2024)
RR
District of Columbia(1/11/2018)
RR
Florida(7/10/2015)
RR
Georgia(1/29/2010)
RR
Hawaii(8/12/2014)
RR
Idaho(1/11/2018)
RR
Illinois(1/10/2018)
RR
Indiana(1/10/2018)
RR
Iowa(1/5/2024)
RR
Kansas(1/2/2024)
RR
Kentucky(11/20/2008)
RR
Louisiana(1/12/2018)
RR
Maine(1/11/2018)
RR
Maryland(10/26/2017)
RR
Massachusetts(1/11/2018)
RR
Michigan(1/12/2018)
RR
Minnesota(1/11/2018)
RR
Mississippi(1/11/2018)
RR
Missouri(1/11/2018)
RR
Montana(1/4/2024)
RR
Nebraska(1/10/2018)
RR
Nevada(9/20/2012)
RR
New Hampshire(1/12/2018)
RR
New Jersey(1/12/2018)
RR
New Mexico(1/4/2024)
RR
New York(1/11/2018)
RR
North Carolina(12/18/1996)
RR
North Dakota(10/19/2018)
RR
Ohio(11/26/2008)
RR
Oklahoma(1/19/2018)
RR
Oregon(1/24/2018)
RR
Pennsylvania(1/11/2018)
RR
Rhode Island(1/12/2018)
RR
South Carolina(12/4/2000)
RR
South Dakota(1/2/2024)
RR
Tennessee(1/12/2018)
RR
Texas(1/12/2018)
RR
Utah(1/11/2018)
RR
Vermont(11/9/2018)
RR
Virginia(9/19/2017)
RR
Washington(1/17/2018)
RR
West Virginia(1/30/2018)
RR
Wisconsin(1/12/2018)
RR
Wyoming(1/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAPITAL INVESTMENT BROKERAGE, INC.
CAPITAL INVESTMENT BROKERAGE, INC. | CAPITAL INVESTMENT COMPANIES
CRD#: 40657 / SEC#: , 8-49118
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
100 E. Six Forks Road Ste 200, Raleigh, NC 27609
Mailing Address
P.o. Box 32249, Raleigh, NC 27622
Phone number
(919) 831-2370
Established
North Carolina since 02/01/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| R.B.S.B. FAMILY TRUST | OWNER | |
| NICHOLSON, WILLIAM BATEMAN SR | SHAREHOLDER | 2585041 |
| BATTLE, RICHARD STAATS | SHAREHOLDER | 2349045 |
| BROOKS, BENJAMIN TIMOTHY III | PRESIDENT | 2206321 |
| BRYANT, RICHARD KING | CEO/TREASURER/FINOP/CO-TRUSTEE | 1069685 |
| DRESSLER, KURT ALAN | SHAREHOLDER | 2381036 |
| EDDINS, WILLIAM HAROLD JR | VICE PRESIDENT | 1724993 |
| HARDEN, RONALD TODD | SHAREHOLDER | 1528810 |
| KING, RONALD LEE | CHIEF COMPLIANCE OFFICER | 2530489 |
| MCDONALD, CORNELIUS TRAWICK III | VICE PRESIDENT | 1288377 |
| SADLER, SUZANNE BRYANT | CO-TRUSTEE | 6313854 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
CAPITAL INVESTMENT BROKERAGE, INC.
CRD#: 40657Raleigh, NC 27609TRUST BUT VERIFY
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