RR
Rebecca M. Rivera
CAPITAL INVESTMENT ADVISORY SERVICES
GREENVILLE, SC 29605
Some features on this profile are disabled
CRD#: 7141485
RR
Professional summary
Rebecca Marie Rivera, who also goes by Rebecca Rivera Owens, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Greenville, South Carolina and CAPITAL INVESTMENT GROUP, INC. located in Greenville, South Carolina.
Rebecca is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Rebecca has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rebecca Rivera Owens
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. RENITA M OWENS, CPA, PFS, WEALTH MANAGERS. 1441 AUGUSTA ST., GREENVILLE, SC 29605. STARTED 8/20/20. INVESTMENT RELATED. 160 HRS/MONTH. 100 HRS DURING NORMAL TRADING HRS. FINANCIAL CONSULTANT, DBA FOR INVESTMENT AND SECURITIES BUSINESS. 2. WOODSTONE WEALTH MANAGEMENT, LLC. MANAGING MEMBER. 108 WRENFIELD COURT, PIEDMONT, SC 29673. STARTED 9/2022. CENTRALIZED ACCOUNT FOR RENITA M. OWENS, CPA, PFS, WEALTH MANAGERS FOR PAYMENT OF SALARIES AND OPERATIONAL EXPENSES. NO COMPENSATION. 0 HR/WK, 0 HR DURING NORMAL TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Rebecca Marie Rivera'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®
NoneExperience
Current
August 20, 2020 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 1441 Augusta Street, Greenville, SC 29605RIA
CRD#: 149124
GREENVILLE, SC
Current
October 21, 2019 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 301 Augusta Street Ste 100, Greenville, SC 29601BD
CRD#: 14752
Greenville, 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".
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
South Carolina(8/20/2020)
IAR
South Carolina(8/20/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/21/2019
General Securities Representative ExaminationGeneral 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.
Company Information
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124Greenville, SC 29605TRUST BUT VERIFY
Monitor Rebecca Rivera
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
