Lester D. Bockow

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CRD#: 6439702

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Lester Daniel Bockow was a registered financial professional .

Lester is a previously registered financial professional and started their career in finance in 2015. Lester had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 20, 2017 - December 31, 2018

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 149124

LEESVILLE, SC

Past

November 20, 2017 - December 31, 2018

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

LEESVILLE, SC

Past

August 17, 2015 - November 22, 2017

WADDELL & REED

RIA

CRD#: 866

COLUMBIA, SC

Past

June 3, 2015 - November 22, 2017

WADDELL & REED

CRD#: 866

COLUMBIA, SC

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".

CAPITAL INVESTMENT ADVISORY SERVICES, 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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/11/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/2/2015

General Securities Representative Examination

Current Firm

CAPITAL INVESTMENT ADVISORY SERVICES, 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)

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 Accounts	8,619
AUM (Assets Under Management)	$ 1,930,938,262

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Lester D. Bockow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

CAPITAL INVESTMENT GROUP, INC.

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/11/2015

SIE

Date: 10/1/2018

Series 7

Date: 6/2/2015

Current Firm

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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