JB
James R. Beam
CAPITAL INVESTMENT ADVISORY SERVICES
CHERRYVILLE, NC
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CRD#: 3100047
JB
Professional summary
James Russell Beam, who also goes by James R Beam, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Cherryville, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Cherryville, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. James has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James R Beam
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. CHERRYVILLE ABC BOARD OF DIRECTORS, CHAIRMAN. 112 N. CHERRY ST #A, CHERRYVILLE, NC. MONITOR OPERATIONS AND IMPLEMENT POLICY FOR CONTROLLED SALE OF SPIRITS. STARTED 6/2012. 30 MIN/MO, NO HRS DURING NORMAL TRADING HRS. 2. COLONIAL SUPPLEMENTAL BENEFITS. REFERRAL. INTRODUCE EMPLOYEES TO THE COLONIAL SALESPERSON. INTRO ONLY - NOT WRITING POLICIES. REFERRAL FEE WILL BE PAID BASED ON THE PREMIUM THAT IS WRITTEN. STARTED 6/2017. <1 HR/MO, <1 HR DURING NORMAL TRADING HRS. 3. NC ASSOCIATION OF ABC BOARDS, BOARD OF DIRECTORS. 1951 CLARK AVENUE, RALEIGH, NC 27603. MONITOR AND SET POLICY FOR ABC SYSTEM IN NC. NOT INVESTMENT RELATED. STARTED 11/2016. 4 HRS/MO, 4 DURING NORMAL TRADING HRS. 4. TARKENTON FINANCIAL. AGENT. 3340 PEACHTREE RD, NE 2300, ATLANTA, GA 30326. MARKETING COMPANY USED TO FIND PRODUCTS FOR CLIENTS. INVESTMENT RELATED. STARTED 8/2017. 5 HRS/WK, 2 DURING NORMAL TRADING HRS. 5. SOLLINDA CAPITAL MANAGEMENT, LLC. INVESTMENT ADVISOR REPRESENTATIVE. 1111 BRICKELL AVE, 10TH FLOOR STE 68, MIAMI, FL 33131. REGISTERED INVESTMENT ADVISOR FIRM. STARTED 12/2023. 40 HRS/WK, 40 DURING NORMAL TRADING HRS. ACTIVITY IS INVESTMENT RELATED. 6. CAPITAL INVESTMENT GROUP, INC. BROKER/DEALER. 100 EAST SIX FORKS ROAD, SUITE 200, RALEIGH, NC 27609. STARTED 01/2019. INVESTMENT RELATED. 10 HRS/WK, 10 DURING NORMAL TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view James Russell Beam'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
March 20, 2025 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
RIA
CRD#: 149124
CHERRYVILLE, NC
Current
June 27, 2012 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 802 Hawthorne Street, Cherryville, NC 28021Office #2: 200 First Avenue Nw Ste 303, Hickory, NC 28601BD
CRD#: 14752
Cherryville, NC
Past
January 2, 2024 - March 13, 2025
SOLLINDA CAPITAL MANAGEMENT LLC
RIA
CRD#: 321742
Hickory, NC
Past
May 17, 2023 - December 26, 2023
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
RIA
CRD#: 149124
HICKORY, NC
Past
October 11, 2004 - June 27, 2012
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
CHERRYVILLE, NC
Past
July 30, 2002 - October 6, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
HUNTERSVILLE, NC
Past
July 30, 2002 - October 6, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 21, 2002 - August 15, 2002
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GASTONIA, NC
Past
June 15, 2002 - August 15, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 28, 2002 - June 21, 2002
WACHOVIA SECURITIES, INC.
RIA
CRD#: 431
GASTONIA, NC
Past
September 23, 1998 - June 15, 2002
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
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
Florida(7/10/2025)
RR
Illinois(9/11/2025)
RR
Kentucky(9/11/2025)
RR
Louisiana(4/16/2024)
RR
North Carolina(6/27/2012)
IAR
North Carolina(3/20/2025)
RR
South Carolina(6/11/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/5/2009 Approved)Upgrade to AdvisorCheck Premium
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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
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.
