AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RE

Raymond S. Erickson

Some features on this profile are disabled
CRD#: 5070463
RE

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Raymond S Erickson was a registered financial professional .

Raymond is a previously registered financial professional and started their career in finance in 2006. Raymond had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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. CAPITAL ADVISORY SERVICES, LLC-Y-WEST CHESTER, OH-ADVISORY SALES-FINANCIAL ADVISOR-10/2013-100-100-SECURITIES SALES. 2.AMERICAN HERITAGE INSURANCE GROUP (P&C INSURANCE)-N-CINCINNATI, OH-FIXED INSURANCE-INSURANCE AGENT-4/2009-5-5-PROPERTY & CASUALTY INSURANCE SALES. 3. CAPITAL ADVISORY SERVICES, LLC-N-WEST CHESTER, OH-INSURANCE-FINANCIAL ADVISOR-10/2013-10-10-SELLING INSURANCE PRODUCTS. 4. One Energy-N-West Chester, OH-Providing Data & Analytics for One Energy Clients-Director of Analytics-03/2021-140-140-Provide data and analytics to One Energy clients and prospects looking to utilize renewable energy in the form of wind turbines and through electric and natural gas.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 6, 2013 - January 2, 2024

CAPITAL ADVISORY SERVICES, LLC

RIA
CRD#: 121227
WEST CHESTER, OH
Past

September 26, 2013 - December 31, 2023

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
WEST CHESTER, OH
Past

January 24, 2006 - April 4, 2013

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
CINCINNATI, OH
Past

January 6, 2006 - April 4, 2013

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
CINCINNATI, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/23/2006
Uniform Combined 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: 1/5/2006
General Securities Representative Examination

Current Firm

CA
CAPITAL ADVISORY SERVICES, LLC
CAPITAL ADVISORY SERVICES | POWELL, JAMIE M | FINANCIAL COUNSELING & INSURANCE SERVICES | CAPITAL ADVISORY SERVICES, LLC

CRD#: 121227 / SEC#:

Florida
Registered Investment Advisory firm - (10/18/2022 Approved)
Indiana
Registered Investment Advisory firm - (1/10/2005 Approved)
Kentucky
Registered Investment Advisory firm - (4/22/2010 Approved)
Ohio
Registered Investment Advisory firm - (1/14/2005 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
8240 Beckett Park Drive Suite B, West Chester, OH 45069
Mailing Address
Phone number
(513) 942-7000
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts1,279
AUM (Assets Under Management)$ 78,107,730

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 ADVISORY SERVICES, LLC

CRD#: 121227

TRUST BUT VERIFY

Monitor Raymond Erickson

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.