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John Matthew Palko

John M. Palko

CAPITAL INVESTMENT ADVISORY SERVICES
CHARLOTTE, NC 28277
Some features on this profile are disabled
CRD#: 2991951
John Matthew Palko

Professional summary

John Matthew Palko, CFP® is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Charlotte, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Matthews, North Carolina.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. John has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

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. REAVENCREST HOMEOWNERS ASSOCIATION. VICE PRESIDENT. 7621 REAVENCREST PARK DRIVE, CHARLOTTE, NC 28277. ROLE INCLUDES ATTENDING HOA MEETINGS AND VOTING WITH THE BOARD ON ALL MATTERS AND CHANGES TO THE COMMUNITY. NOT INVESTMENT RELATED. STARTED 03/2019. 10 HRS/MONTH, 1 DURING NORMAL TRADING HRS. 2. NCSCPLANNING.COM. OWNER. 352 EAST CHARLES STREET, MATTHEWS, NC 28105. WEBSITE DOMAIN THAT IS REFERENCED AS BUSINESS NAME ON THE WEBSITE. STARTED 1/2019. 1 HR/WK, 1 HR DURING NORMAL TRADING HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Matthew Palko'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: 2005

Experience

Current

January 5, 2018 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Office #1: 8700 Barrelli Court, Charlotte, NC 28277
RIA
CRD#: 149124
CHARLOTTE, NC
Current

January 5, 2018 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 352 East Charles Street, Matthews, NC 28105
BD
CRD#: 14752
Matthews, NC
Past

January 2, 2013 - December 14, 2017

BB&T SECURITIES, LLC

RIA
CRD#: 142785
CHARLOTTE, NC
Past

January 2, 2013 - December 14, 2017

BB&T SECURITIES, LLC

BD
CRD#: 142785
CHARLOTTE, NC
Past

November 4, 2005 - January 2, 2013

SCOTT & STRINGFELLOW, LLC

RIA
CRD#: 6255
CHARLOTTE, NC
Past

October 28, 2005 - January 2, 2013

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
CHARLOTTE, NC
Past

December 31, 2001 - November 4, 2005

LEGG MASON WOOD WALKER, INCORPORATED

RIA
CRD#: 6555
CHARLOTTE, NC
Past

May 25, 2000 - November 4, 2005

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

August 17, 1999 - May 26, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
Florida
(9/23/2021)
RR
Maryland
(10/17/2024)
RR
North Carolina
(1/5/2018)
IAR
North Carolina
(1/5/2018)
RR
South Carolina
(1/5/2018)
RR
Tennessee
(1/10/2019)
RR
Texas
(10/24/2024)
RR
Virginia
(1/5/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/8/2001
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/22/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/12/1999
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: 8/16/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/28/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/18/2000
General Securities Sales Supervisor - Options Module 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)
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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)

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#: 149124Charlotte, NC 28277

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