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Francis M. Thomas

CAPITAL INVESTMENT ADVISORY SERVICES
CHARLOTTE, NC 28105
Some features on this profile are disabled
CRD#: 4015380
FT

Professional summary

Francis Michael Thomas, who also goes by Mike Thomas, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Charlotte, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Raleigh, North Carolina.

Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Francis has worked at 4 firms and has passed the Series 66, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Mike Thomas

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. AS F. MICHAEL THOMAS & ASSOCIATES, I AM INSURANCE AGENT PROVIDING INSURANCE SALES AND SERVICE. SPEND 40 HOURS/MONTH ON ACTIVITY WITH ALL 40 HOURS DURING TRADING HOURS. LOCATED AT OFFICE OF EMPLOYMENT ADDRESS. INVESTMENT RELATED ACTIVITY PER NASD DEFINITION. BEGUN IN 1985.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Michael Thomas'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

December 22, 2022 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Office #1: 624 Matthews Mint Hill Road Suite 103, Charlotte, NC 28105Office #2: 150 Fayetteville Street Suite 2300, Raleigh, NC 27601
RIA
CRD#: 149124
CHARLOTTE, NC
Current

November 11, 1999 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 150 Fayetteville Street Suite 2300, Raleigh, NC 27601Office #2: 624 Matthews Mint Hill Road Suite 103, Matthews, NC 28105
BD
CRD#: 14752
Raleigh, NC
Past

July 1, 2014 - December 22, 2022

RISING TIDE, INC.

RIA
CRD#: 118516
MATTHEWS, NC
Past

December 31, 2001 - April 25, 2014

SENTRY CONSULTING, INC.

RIA
CRD#: 117190
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
North Carolina
(1/20/2000)
IAR
North Carolina
(12/22/2022)
RR
South Carolina
(12/21/2007)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/23/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/10/1999
Investment Company Products/Variable Contracts Representative 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 28105

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