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BF

Brendan K. Flatow

CAPITAL INVESTMENT GROUP
Blue Bell, PA 19422
Some features on this profile are disabled
CRD#: 5773857
BF

Professional summary

Brendan Keith Flatow is a registered financial professional currently at CAPITAL INVESTMENT GROUP, INC. located in Blue Bell, Pennsylvania.

Brendan is registered as a RR (Registered Representative) and started their career in finance in 2010. Brendan has worked at 2 firms and has passed the Series 63, Series 79TO, 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brendan Keith Flatow'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

March 1, 2017 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 325 Sentry Parkway 5 West Suite 200, Blue Bell, PA, 19422
BD
CRD#: 14752
Blue Bell, PA
Past

April 30, 2010 - January 4, 2016

COVENTRY SECURITIES, LLC

BD
CRD#: 150462
FORT WASHINGTON, PA

State Registrations and Notice Filings

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

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
California
(1/7/2022)
RR
Florida
(2/11/2019)
RR
Illinois
(11/12/2018)
RR
Michigan
(8/28/2019)
RR
New Jersey
(9/9/2019)
RR
Ohio
(11/13/2018)
RR
Pennsylvania
(3/1/2017)
RR
Texas
(1/7/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/17/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/29/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CAPITAL INVESTMENT GROUP, INC.
CAPITAL INVESTMENT COMPANIES | CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752 / SEC#: , 8-31225

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
100 E. Six Forks Road Ste 200, Raleigh, NC 27609
Mailing Address
P.o. Box 32249, Raleigh, NC 27622
Phone number
(919) 831-2370
Established
North Carolina since 01/06/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
R.B.S.B. FAMILY TRUSTOWNER
NICHOLSON, WILLIAM BATEMAN SRSHAREHOLDER2585041
BATTLE, RICHARD STAATSSHAREHOLDER2349045
BROOKS, BENJAMIN TIMOTHY IIIPRESIDENT2206321
BRYANT, RICHARD KINGCEO/TREASURER/FINOP/CO-TRUSTEE1069685
DRESSLER, KURT ALANSHAREHOLDER2381036
EDDINS, WILLIAM HAROLD JRASSISTANT VICE PRESIDENT1724993
HARDEN, RONALD TODDSHAREHOLDER1528810
KING, RONALD LEECHIEF COMPLIANCE OFFICER2530489
MCDONALD, CORNELIUS TRAWICK IIIASSISTANT VICE PRESIDENT1288377
SADLER, SUZANNE BRYANTCO-TRUSTEE6313854

Disclosures

Regulatory Event7
Arbitration3

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 GROUP, INC.

CRD#: 14752Blue Bell, PA 19422

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