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AS

Aaron B. Smith

CAPITAL INVESTMENT ADVISORY SERVICES
PLEASANT GARDEN, NC
Some features on this profile are disabled
CRD#: 5916609
AS

Professional summary

Aaron Brandon Smith, who also goes by Aaron B Smith, Aaron B. Smith, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Pleasant Garden, North Carolina.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Aaron has worked at 3 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Aaron B Smith | Aaron B. Smith

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) TOBACCO ROAD REAL ESTATE GROUP LLC, 1196 LEGACY FARE DR, PLEASANT GARDEN, NC 27313; START 2011; CO-OWNER/RENTAL PROPERTY; INVOLVES TEN PERCENT OR LESS TIME EACH MONTH NORMALLY AFTER BUSINESS HOURS; NON INVESTMENT-RELATED..

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Brandon Smith'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

October 1, 2021 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RIA
CRD#: 149124
PLEASANT GARDEN, NC
Past

September 17, 2013 - October 1, 2021

CARDINAL FINANCIAL

RIA
CRD#: 169011
WINSTON-SALEM, NC
Past

July 11, 2011 - August 7, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHARLOTTE, NC
Past

June 20, 2011 - August 7, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHARLOTTE, 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.

Highlighted states indicate IAR registrations

IAR
North Carolina
(10/1/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/8/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/2011
General Securities Representative Examination

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)

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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#: 149124Pleasant Garden, NC

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