Samanthia S. Smith

CAPITAL INVESTMENT ADVISORY SERVICES

Raleigh, NC 27609

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CRD#: 2987539

Professional summary

Samanthia Sarvis Smith, CFP® is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Raleigh, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Cary, North Carolina.

Samanthia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Samanthia has worked at 8 firms and has passed the Series 66, Series 72, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) TRUST COMPANY OF NORTH CAROLINA, 985 OLD US HWY 1, SOUTHERN PINES, NC 28287; INVESTMENTS, FINANCIAL PLANNING; FINANCIAL ADVISOR; SENIOR VICE PRESIDENT; START 02/2021; HELP CLIENTS WITH THEIR FINANCIAL NEEDS BY INVESTING THEIR MONEY AND PLANNING THEIR FINANCIAL FUTURE; 160 HRS/MON WITH 160 HRS/MON DURING SECURITIES TRADING HRS; INVESTMENT RELATED. 2) AOS & FRIENDS CARE INC, PO BOX 2478 SOUTHERN PINES, NC 28387;NON PROFIT FOR CARE OF PEOPLE WITH DEMENTIA THAT ARE LOW INCOME; TREASURER; BOOKKEEPING; 1 HR/MON WITH 0 HRS/MON DURING SECURITIES TRADING HRS; NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samanthia Sarvis Smith'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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

June 10, 2025 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Office #1: 100 E. Six Forks Road Suite 200, Raleigh, NC 27609Office #2: 985 Old Us Hwy 1, Southern Pines, NC 28287Office #3: 100 W. Chatham St., Cary, NC 27511

RIA

CRD#: 149124

Raleigh, NC

Current

June 10, 2025 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 100 W. Chatham Street, Cary, NC 27511

CRD#: 14752

CARY, NC

Past

July 26, 2021 - July 1, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

SOUTHERN PINES, NC

Past

July 26, 2021 - July 1, 2025

LPL FINANCIAL LLC

CRD#: 6413

SOUTHERN PINES, NC

Past

February 17, 2021 - June 16, 2021

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

ATLANTA, GA

Past

February 17, 2021 - June 16, 2021

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

PINEHURST, NC

Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

February 24, 2004 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

PINEHURST, NC

Past

March 13, 2001 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

PINEHURST, NC

Past

March 5, 1998 - March 1, 2001

JBS LIBERTY SECURITIES, INC.

CRD#: 36179

KANNAPOLIS, 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".

CAPITAL INVESTMENT ADVISORY SERVICES, 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.

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

IAR

North Carolina
(6/10/2025)

North Carolina
(7/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/16/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 72

Date: 1/2/2023

Government Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/2/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

CRD#: 149124 / SEC#: 801-69846

RIA

Registered Investment Advisory firm - (1/5/2009 Approved)

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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

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 Accounts	8,619
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.

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Advisor Monitoring

Firm Stability Insights

Samanthia S. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samanthia Sarvis Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL INVESTMENT GROUP, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

JBS LIBERTY SECURITIES, INC.

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/16/2004

Series 72

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/2/1998

FINRA

Current Firm

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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