WM
William A. Moore
CAPITAL INVESTMENT ADVISORY SERVICES
CARY, NC
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CRD#: 4601018
WM
Professional summary
William Anthony Moore is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Cary, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Cary, North Carolina.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. William has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 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. WILLIAM MOORE, OWNER. 633 W CLUB BLVD, DURHAM, NC 27701. DUPLEX PURCHASED AS RESIDENTIAL RENTAL UNITS. STARTED 8/5/2014. NOT INVESTMENT RELATED. 2 HRS/MONTH, 2 HRS DURING NORMAL TRADING HOURS. 2. SUPPLY COST CONSULTANTS. MANAGING MEMBER. 4801 GLENWOOD AVE., STE 200, RALEIGH, NC 27612. CONSULTING ON COMPANY EXPENSE REDUCTION STRATEGIES, VENDOR NEGOTIATIONS AND PRICE NEGOTIATIONS. NOT INVESTMENT RELATED. STARTED 2/1/2020. 10-15 HRS/MONTH. ALL DURING NORMAL TRADING HRS. EDITED 9/2022 TO ADD REFERRALS RELATED TO MORTGAGE SERVICES. 3. WM FINANCIAL, LLC. PRESIDENT. 4801 GLENWOOD AVE, STE 200, RALEIGH, NC 27612. INVESTMENT RELATED BUSINESS INCLUDING INSURANCE SALES AND SERVICE. 40 HRS/WK, 40 DURING NORMAL TRADING HRS. STARTED 2011. 4. ICE GLOBAL CONSULTING. INVESTOR. 10911 RAVEN RIDGE ROAD, STE 103-44, RALEIGH, NC 27614. COMPANY OPERATES AS OUTSOURCED PARTNER TO CLINICAL COMPANIES FOCUSING ON CONTRACT NEGOTIATIONS, BUDGETING AND PAYMENTS BETWEEN CLINICAL SITES AND CLINICAL STUDY COMPANIES. NO ADMINISTRATIVE, NO MANAGERIAL, NO FINANCIAL SERVICES TO ICE GLOBAL CONSULTING. MINORITY OWNERSHIP INTEREST IN PRIVATELY HELD COMPANY CONTROLLED BY FAMILY MEMBER. STARTED 5/2022. 1 HR/WK, 1 HR DURING NORMAL TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view William Anthony Moore'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
September 22, 2009 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
RIA
CRD#: 149124
CARY, NC
Current
January 12, 2005 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #2: 4801 Glenwood Avenue Ste 200, Raleigh, NC 27612BD
CRD#: 14752
CARY, NC
Past
January 2, 2003 - December 17, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Georgia(12/12/2022)
RR
Illinois(12/14/2022)
RR
Maine(12/8/2022)
RR
New Hampshire(12/12/2022)
RR
North Carolina(1/12/2005)
IAR
North Carolina(9/22/2009)
RR
Ohio(12/9/2022)
RR
South Carolina(9/7/2023)
RR
Texas(12/8/2022)
RR
Virginia(11/23/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
