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Michael G. Brennan

CAPITAL INVESTMENT ADVISORY SERVICES
RALEIGH, NC
Some features on this profile are disabled
CRD#: 5592215
MB

Professional summary

Michael Gerard Brennan JR, who also goes by Michael Gerard Brennan, Michael G Brennan Jr, Michael G Brennan, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Raleigh, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Raleigh, North Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Michael has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Michael Gerard Brennan | Michael G Brennan Jr | Michael G Brennan

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. BASS BRENNAN ADVISORY, LLC. CO-MANAGER. 155 JACKSON RD., FUQUAY-VARINA, NC 27526. ENTITY TO FACILITATE THE PURCHASE OF RISING TIDE, INC. STARTED 1.2023. INVESTMENT RELATED. 2 HRS/WK, 0 HRS DURING NORMAL TRADING HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Gerard Brennan JR'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

January 3, 2023 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RIA
CRD#: 149124
RALEIGH, NC
Current

January 19, 2023 - Present

CAPITAL INVESTMENT GROUP, INC.

BD
CRD#: 14752
RALEIGH, NC
Past

January 3, 2023 - January 19, 2023

CAPITAL INVESTMENT BROKERAGE, INC.

BD
CRD#: 40657
RALEIGH, NC
Past

November 26, 2021 - November 25, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CARY, NC
Past

November 19, 2021 - November 25, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CARY, NC
Past

June 18, 2018 - October 20, 2021

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

January 7, 2016 - May 31, 2018

BLUEROCK CAPITAL MARKETS LLC

BD
CRD#: 136974
New York, NY
Past

February 25, 2014 - January 4, 2016

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
NEW YORK, NY
Past

April 23, 2012 - November 16, 2012

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
NEW YORK, NY
Past

March 17, 2010 - April 20, 2012

RODMAN & RENSHAW, LLC

BD
CRD#: 16415
NEW YORK, NY
Past

October 9, 2008 - March 22, 2010

MAXIM GROUP LLC

BD
CRD#: 120708
WOODBURY, NY

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

IAR
North Carolina
(1/3/2023)
RR
North Carolina
(1/19/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/24/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/27/2008
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: 10/8/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/13/2018
General Securities Principal 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#: 149124Raleigh, NC

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