Brett A. Rutherford
Professional summary
Brett Allen Rutherford was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brett is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Brett had worked at 8 firms, which includes CAPITAL INVESTMENT GROUP INC., CAPE FEAR SECURITIES INC., SUMMIT BROKERAGE SERVICES INC., RAYMOND JAMES FINANCIAL SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, WACHOVIA SECURITIES INC., BB&T INVESTMENT SERVICES INC., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2015 - December 6, 2024
CAPITAL INVESTMENT GROUP, INC.
September 15, 2011 - September 18, 2015
CAPE FEAR SECURITIES, INC.
May 31, 2005 - September 16, 2011
SUMMIT BROKERAGE SERVICES, INC.
July 30, 2002 - June 2, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 15, 2002 - July 30, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 17, 2001 - June 15, 2002
WACHOVIA SECURITIES, INC.
January 31, 2000 - December 21, 2000
BB&T INVESTMENT SERVICES, INC.
September 24, 1999 - December 14, 1999
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITAL INVESTMENT GROUP, INC.
CRD#: 14752 / SEC#: , 8-31225
Contact information
FINRA licenses (53 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 | ASSISTANT VICE PRESIDENT | 1724993 |
| HARDEN, RONALD TODD | SHAREHOLDER | 1528810 |
| KING, RONALD LEE | CHIEF COMPLIANCE OFFICER | 2530489 |
| MCDONALD, CORNELIUS TRAWICK III | ASSISTANT VICE PRESIDENT | 1288377 |
| SADLER, SUZANNE BRYANT | CO-TRUSTEE | 6313854 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
Red Flags
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