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AB

Andrew H. Barag

CAPITAL INVESTMENT ADVISORS
Atlanta, GA 30328
Some features on this profile are disabled
CRD#: 5704194
AB

Professional summary

Andrew Howard Barag, CFP®, who also goes by Andrew Barag, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORS, LLC located in Atlanta, Georgia.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Andrew has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Andrew Barag

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Howard Barag'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®
CFP®

Certified Financial Planner

Experience

Current

January 22, 2019 - Present

CAPITAL INVESTMENT ADVISORS, LLC

Office #1: 10 Glenlake Parkway North Tower, Suite 1000, Atlanta, GA 30328
RIA
CRD#: 158055
Atlanta, GA
Past

January 19, 2016 - September 26, 2018

CAPITAL BANK AND TRUST COMPANY

RIA
CRD#: 170017
IRVINE, CA
Past

June 19, 2015 - January 19, 2016

CAPITAL GUARDIAN TRUST COMPANY

RIA
CRD#: 108236
ATLANTA, GA
Past

June 1, 2012 - February 12, 2015

MORGAN STANLEY

RIA
CRD#: 149777
ATLANTA, GA
Past

May 31, 2012 - February 12, 2015

MORGAN STANLEY

BD
CRD#: 149777
ATLANTA, GA
Past

March 17, 2010 - May 18, 2012

WADDELL & REED

RIA
CRD#: 866
ATLANTA, GA
Past

January 26, 2010 - May 18, 2012

WADDELL & REED

BD
CRD#: 866
ATLANTA, GA

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 ADVISORS, LLC
CAPITAL INVESTMENT ADVISORS, LLC

CRD#: 158055 / SEC#: 801-72532

RIA
Registered Investment Advisory firm - (7/7/2011 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.

Highlighted states indicate IAR registrations

IAR
Georgia
(1/22/2019)
IAR
Texas
(5/4/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/16/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/12/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/25/2010
General Securities Representative Examination

Current Firm

CI
CAPITAL INVESTMENT ADVISORS, LLC
CAPITAL INVESTMENT ADVISORS, LLC

CRD#: 158055 / SEC#: 801-72532

RIA
Registered Investment Advisory firm - (7/7/2011 Approved)
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Contact information

Main Address
10 Glenlake Parkway North Tower, Suite 1000, Atlanta, GA 30328
Mailing Address
Phone number
(404) 531-0018
Established
Firm type
Fiscal year end
# of Employees
99

SEC notice filing (53 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

CAPITAL INVESTMENT ADVISORS LLC (8/14/2025)

Regulatory assets under management

Total Number of Accounts13,529
AUM (Assets Under Management)$ 6,298,397,792

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/16/2025
Cover Page
Report
10/15/2024
Cover Page
Report
10/24/2023
Cover Page
Report
12/20/2022
Cover Page
Report

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 ADVISORS, LLC

CRD#: 158055Atlanta, GA 30328

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