DS
Daniel R. Shive
CAPITAL INVESTMENT ADVISORY SERVICES
LEXINGTON, NC 27292
Some features on this profile are disabled
CRD#: 5764165
DS
Professional summary
Daniel Riddle Shive, CFP® is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Lexington, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Lexington, North Carolina.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Daniel 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.
1. PARROTT INSURANCE - AGENT. STARTED MAY 3, 2010. 150 WEAVER DR LEXINGTON, NC 27292. LIFE AND DISABILITY INSURANCE. 2. PIEDMONT INSURANCE & BENEFITS DBA PARROTT INSURANCE & BENEFITS. VICE PRESIDENT. 150 WEAVER DRIVE, LEXINGTON, NC 27292. STARTED 7/2019. ASSIST WITH FINANCIAL MANAGEMENT OF PARROTT INSURANCE & BENEFITS TO INCLUDE BOOKKEEPING AND PAYROLL. 30 HRS/WK, 25 DURING NORMAL TRADING HRS. 3. YONAHLOSSEE RACQUET CLUB. BOARD MEMBER. 250 COCKLEY BECK, BOONE, NC 28607. STARTED 9/2024. SERVE AS BOARD MEMBER FOR SPORTS CLUB. 1 HR/WK, 0 DURING NORMAL TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Riddle Shive'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®
CFP®
Start date: 2013
Experience
Current
September 8, 2010 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 150 Weaver Drive, Lexington, NC 27292RIA
CRD#: 149124
LEXINGTON, NC
Current
March 11, 2010 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 150 Weaver Drive, Lexington, NC 27292Office #2: 452 Sunset Drive Ste A, Blowing Rock, NC 28605BD
CRD#: 14752
Lexington, 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".
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
Florida(6/30/2021)
RR
North Carolina(9/1/2010)
IAR
North Carolina(9/8/2010)
Exams
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
Registered Investment Advisory firm - (1/5/2009 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
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.
