CC
Cory B. Capps
COLLEGIATE CAPITAL MANAGEMENT
Raleigh, NC 27601
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CRD#: 4737732
CC
Professional summary
Cory Brandon Capps is a registered financial advisor currently at COLLEGIATE CAPITAL MANAGEMENT, INC. located in Raleigh, North Carolina.
Cory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Cory has worked at 2 firms and has passed the Series 66, 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.
Collegiate Capital Management, Inc. - 214 New Bern Place, Raleigh, NC - Investment-Related - Board of Directors Member - Corp Secretary - 10/2006 - Less than 1 hr/mo during trading hours - provides overall direction for the operation of the firm.
CRS (Client Relationship Summary) - RIA
Click below to view Cory Brandon Capps'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
November 30, 2005 - Present
COLLEGIATE CAPITAL MANAGEMENT, INC.
Office #1: 214 New Bern Place, Raleigh, NC 27601RIA
CRD#: 118205
Raleigh, NC
Past
April 23, 2004 - December 22, 2016
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
RALEIGH, 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".
CC
COLLEGIATE CAPITAL MANAGEMENT, INC.
COLLEGIATE CAPITAL MANAGEMENT, INC.
CRD#: 118205 / SEC#: 801-64622
RIA
Registered Investment Advisory firm - (9/1/2005 Approved)Georgia
Registered Investment Advisory firm - (3/28/2006 Terminated)North Carolina
Registered Investment Advisory firm - (3/28/2006 Terminated)South Carolina
Registered Investment Advisory firm - (3/28/2006 Terminated)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.Highlighted states indicate IAR registrations
IAR
Georgia(6/17/2008)
IAR
North Carolina(11/30/2005)
IAR
Texas(11/5/2021)
IAR
Virginia(11/8/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CC
COLLEGIATE CAPITAL MANAGEMENT, INC.
COLLEGIATE CAPITAL MANAGEMENT, INC.
CRD#: 118205 / SEC#: 801-64622
RIA
Registered Investment Advisory firm - (9/1/2005 Approved)Georgia
Registered Investment Advisory firm - (3/28/2006 Terminated)North Carolina
Registered Investment Advisory firm - (3/28/2006 Terminated)South Carolina
Registered Investment Advisory firm - (3/28/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
214 New Bern Place, Raleigh, NC 27601
Mailing Address
Phone number
(919) 838-0101
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,995 |
| AUM (Assets Under Management) | $ 582,341,286 |
Red Flags
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Company Information
COLLEGIATE CAPITAL MANAGEMENT, INC.
CRD#: 118205Raleigh, NC 27601TRUST BUT VERIFY
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