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Eugene C. Thompson

CAPITAL INVESTMENT ADVISORY SERVICES
WALLACE, NC 28466
Some features on this profile are disabled
CRD#: 4350479
ET

Professional summary

Eugene Cebron Thompson IV, who also goes by Bron Thompson, E C Thompson IV, Eugene Cebron Thompson Iv, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Wallace, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Dunn, North Carolina.

Eugene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Eugene has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bron Thompson | E C Thompson Iv | Eugene Cebron Thompson Iv

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 Eugene Cebron Thompson IV'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 13, 2014 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Office #1: 4158 South Nc 11 Hwy, Wallace, NC 28466Office #2: 105 N. Orange Avenue, Dunn, NC 28334
RIA
CRD#: 149124
WALLACE, NC
Current

February 13, 2014 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 105 N. Orange Avenue, Dunn, NC 28334
BD
CRD#: 14752
Dunn, NC
Past

December 31, 2001 - February 14, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WILMINGTON, NC
Past

March 9, 2001 - February 14, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WILMINGTON, 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
Alabama
(4/9/2014)
RR
Colorado
(8/23/2021)
RR
Florida
(8/11/2021)
RR
Georgia
(8/23/2021)
RR
Missouri
(1/26/2021)
RR
North Carolina
(2/13/2014)
IAR
North Carolina
(2/13/2014)
RR
Texas
(6/29/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/30/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/16/2001
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: 3/8/2001
General Securities 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#: 149124Wallace, NC 28466

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