SH
Steven B. Harrell
CAPITAL INVESTMENT ADVISORY SERVICES
PLEASANT GARDEN, NC 27313
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CRD#: 4500232
SH
Professional summary
Steven Bennett Harrell, who also goes by Steven B. Harrell, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Pleasant Garden, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Pleasant Garden, North Carolina.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Steven has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven B. Harrell
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) BENNETT FINANCIAL INC, 1196 LEGACY FARE DR, PLEASANT GARDEN, NC 27313; START DATE 06/01; OWNER - INSURANCE SALES; SELL LIFE INSURANCE AND LTC; NON INVESTMENT-RELATED; 20 HRS/MON; 16 HRS/MON DURING TRADING HRS.
2) RENTAL PROPERTY,1196 LEGACY FARE DR, PLEASANT GARDEN, NC 27313; START DATE 09/09; OWNER - RENTAL PROPERTY; NON INVESTMENT-RELATED;0 HRS/MON.
3) FARM,3230 NC HWY 150,REIDSVILLE, NC 27320; START DATE 10/18; OWNER - TREE AND HAY FARM - LEASE TO LOCAL FARMER; NON INVESTMENT-RELATED;0 HRS/MON.
4) FAMILY FARM,BLACK RIVER ROAD, TURBEVILLE, SC 29162; START DATE 2017; PART OWNER - SOY BEAN FARM - LEASE TO SOY BEAN FARMER; NON INVESTMENT-RELATED; O HRS/MON.
5) FARM, CORLEY ROAD, BLYTHE, GA; START DATE 10/20; OWNER - OWNS LAND THAT WILL BE LEASED TO COW FARMER; NON INVESTMENT-RELATED;0 HRS/MON.
6) 54RGM RENTAL PROPERTIES,1196 LEGACY FARE DR, PLEASANT GARDEN, NC 27313; START DATE 9/09; HALF OWNER - RESIDENTIAL RENTAL PROPERTIES; NON INVESTMENT-RELATED; 0 HRS/MON.
7) PREACHER, 1196 LEGACY FARE DR, PLEASANT GARDEN, NC 27313; START DATE 02/04; PREACHER AT SMALL CHURCHES; NON INVESTMENT-RELATED; 20 HRS/MON; 0 HRS DURING TRADING.
8) TOBACCO ROAD PROPERTIES, 1196 LEGACY FARE DR, PLEASANT GARDEN, NC 27313; START DATE 6/09; HALF OWNER - RESIDENTIAL RENTAL PROPERTIES; NON INVESTMENT-RELATED; 0 HRS/MON.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Bennett Harrell'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
October 7, 2019 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 1196 Legacy Fare Drive, Pleasant Garden, NC 27313RIA
CRD#: 149124
PLEASANT GARDEN, NC
Current
October 7, 2019 - Present
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
PLEASANT GARDEN, NC
Past
June 27, 2016 - October 2, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
PLEASANT GARDEN, NC
Past
February 1, 2011 - October 2, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
PLEASANT GARDEN, NC
Past
April 30, 2002 - February 7, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
GREENSBORO, 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(6/26/2025)
RR
Arizona(8/4/2020)
RR
California(10/7/2019)
RR
Connecticut(8/13/2021)
RR
Delaware(11/20/2024)
RR
Florida(10/7/2019)
RR
Georgia(9/15/2021)
RR
Illinois(12/8/2020)
RR
Iowa(4/15/2024)
RR
Maryland(11/20/2024)
RR
Massachusetts(7/29/2024)
RR
Michigan(8/15/2024)
RR
Missouri(7/8/2024)
RR
Nebraska(1/9/2025)
RR
New Jersey(5/24/2023)
RR
New York(10/11/2023)
IAR
North Carolina(10/7/2019)
RR
North Carolina(10/17/2019)
RR
Pennsylvania(6/16/2020)
RR
South Carolina(10/7/2019)
RR
Tennessee(3/8/2024)
RR
Texas(4/9/2021)
RR
Utah(4/6/2020)
RR
Vermont(7/29/2024)
RR
Virginia(10/7/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/25/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/5/2009 Approved)Upgrade to AdvisorCheck Premium
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124Pleasant Garden, NC 27313TRUST BUT VERIFY
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