RY
Richard A. Yercheck
CAPITAL INVESTMENT ADVISORY SERVICES
MONROE, NC 28110
Some features on this profile are disabled
CRD#: 4056284
RY
Professional summary
Richard Allen Yercheck is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Monroe, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Monroe, North Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
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.) CPR Instructor. 3004 Manchester Avenue, Monroe, NC 28110. Instructor/Owner. Teach CPR to the public, first responders and health care professionals. Non investment related. 1-2 hours/week. <1 hour during trading hours. (2.) City of Monroe Planning Board. 300 W. Crowell St., Monroe, NC 28112. Board Member. Planning new development for the city of Monroe. Non investment related. One hour/week. 0 hours during trading hours. (3.)MANCHESTER AVENUE SECURITIES, LLC. 40 HOURS A WEEK. PROVIDES INVESTMENT SERVICES FOR INDIVIDUALS, BUSINESS OWNERS, AND CORPORATIONS. (4.) Union Symphony Ochestras. 201 N. Main St., Suite 109, Monroe, NC 28112. Board Member. Plan and oversee the operations of the symphony. Non-investment related. 2 hours/week. 0 hors during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Allen Yercheck'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 15, 2019 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 2593 W. Roosevelt Blvd Ste 207, Monroe, NC 28110RIA
CRD#: 149124
MONROE, NC
Current
March 15, 2019 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 2593 W. Roosevelt Blvd Ste 207, Monroe, NC 28110BD
CRD#: 14752
Monroe, NC
Past
July 3, 2013 - March 28, 2019
PROSPERA FINANCIAL SERVICES, INC.
RIA
CRD#: 10740
MONROE, NC
Past
June 28, 2013 - March 28, 2019
PROSPERA FINANCIAL SERVICES, INC.
BD
CRD#: 10740
MONROE, NC
Past
September 17, 2004 - June 28, 2013
TCA FINANCIAL GROUP, LLC
RIA
CRD#: 131275
CHARLOTTE, NC
Past
September 17, 2004 - June 28, 2013
TCA FINANCIAL GROUP, LLC
BD
CRD#: 131275
CHARLOTTE, NC
Past
May 14, 2003 - October 4, 2004
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
June 15, 2002 - October 4, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 7, 2000 - 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
Colorado(4/1/2019)
RR
Florida(3/15/2019)
RR
Maryland(3/15/2019)
RR
Missouri(12/12/2023)
IAR
North Carolina(3/15/2019)
RR
North Carolina(3/28/2019)
RR
Oregon(9/24/2019)
RR
South Carolina(3/15/2019)
RR
Tennessee(3/15/2019)
RR
Virginia(3/15/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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.
