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GS

George T. Smith

CAPITAL INVESTMENT BROKERAGE
Wilson, NC 27896
Some features on this profile are disabled
CRD#: 3175500
GS

Professional summary

George Thomas Smith JR is a registered financial professional currently at CAPITAL INVESTMENT BROKERAGE, INC. located in Wilson, North Carolina.

George is registered as a RR (Registered Representative) and started their career in finance in 1999. George has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view George Thomas Smith JR'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®
None

Experience

Current

September 2, 1999 - Present

CAPITAL INVESTMENT BROKERAGE, INC.

Office #1: 3710 W. Nash Street, Wilson, NC 27896Office #2: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609
BD
CRD#: 40657
Wilson, NC
Past

July 29, 1999 - September 1, 1999

CAPITAL INVESTMENT GROUP, INC.

BD
CRD#: 14752
RALEIGH, NC

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
North Carolina
(9/2/1999)
RR
Ohio
(9/19/2001)
RR
South Carolina
(9/17/1999)

Exams

State Security Law Exam
RR
Series 63
Date: 8/19/1999
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: 7/27/1999
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
R.B.S.B. FAMILY TRUSTOWNER
NICHOLSON, WILLIAM BATEMAN SRSHAREHOLDER2585041
BATTLE, RICHARD STAATSSHAREHOLDER2349045
BROOKS, BENJAMIN TIMOTHY IIIPRESIDENT2206321
BRYANT, RICHARD KINGCEO/TREASURER/FINOP/CO-TRUSTEE1069685
DRESSLER, KURT ALANSHAREHOLDER2381036
EDDINS, WILLIAM HAROLD JRVICE PRESIDENT1724993
HARDEN, RONALD TODDSHAREHOLDER1528810
KING, RONALD LEECHIEF COMPLIANCE OFFICER2530489
MCDONALD, CORNELIUS TRAWICK IIIVICE PRESIDENT1288377
SADLER, SUZANNE BRYANTCO-TRUSTEE6313854

Disclosures

Regulatory Event1

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 BROKERAGE, INC.

CRD#: 40657Wilson, NC 27896

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