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Samuel M. Knight

CAPITAL INVESTMENT ADVISORY SERVICES
Raleigh, NC 27609
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CRD#: 4294778
SK

Professional summary

Samuel Mitchell Knight is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Raleigh, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Raleigh, North Carolina.

Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Samuel has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Mitchell Knight'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

February 10, 2021 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Office #1: 100 E. Six Forks Road Suite 200, Raleigh, NC 27609
RIA
CRD#: 149124
Raleigh, NC
Current

February 10, 2021 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609
BD
CRD#: 14752
Raleigh, NC
Past

January 6, 2020 - February 8, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ROCKY MOUNT, NC
Past

October 1, 2019 - February 8, 2021

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ROCKY MOUNT, NC
Past

March 25, 2017 - June 4, 2019

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
CHARLOTTE, NC
Past

February 19, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
CHARLOTTE, NC
Past

May 6, 2014 - February 23, 2015

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
CONCORD, NC
Past

July 15, 2013 - April 17, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHARLOTTE, NC
Past

June 27, 2013 - April 17, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHARLOTTE, NC
Past

December 11, 2012 - March 13, 2013

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CHARLOTTE, NC
Past

April 4, 2007 - November 19, 2012

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
CHARLOTTE, NC
Past

July 19, 2005 - June 7, 2006

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
KANNAPOLIS, NC
Past

February 15, 2005 - July 5, 2005

JBS LIBERTY SECURITIES, INC.

BD
CRD#: 36179
KANNAPOLIS, NC
Past

October 1, 2004 - January 26, 2005

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

March 6, 2002 - January 7, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

November 6, 2000 - January 22, 2002

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
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
(2/10/2021)
IAR
North Carolina
(2/10/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/6/2020
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/17/2000
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: 6/11/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/4/2000
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)

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#: 149124Raleigh, NC 27609

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