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WR

William H. Rogers

CAPITAL INVESTMENT ADVISORY SERVICES
Raleigh, NC 27609
Some features on this profile are disabled
CRD#: 715349
WR

Professional summary

William Hoyt Rogers, who also goes by Bill Rogers, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Raleigh, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Raleigh, North Carolina.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. William has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bill Rogers

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.
POWER OF ATTORNEY FOR MOTHER; INV. RELATED; RALEIGH, NC; START DATE 1/2020; 1 HR PER MONTH; 1 HR DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Hoyt Rogers'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

June 21, 2022 - Present

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Office #1: 100 E. Six Forks Road Suite 200, Raleigh, NC 27609
RIA
CRD#: 149124
Raleigh, NC
Current

June 24, 2022 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609
BD
CRD#: 14752
Raleigh, NC
Past

October 18, 2007 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

October 1, 1999 - June 7, 2021

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
RALEIGH, NC
Past

January 1, 1998 - June 7, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
RALEIGH, NC
Past

December 16, 1987 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

September 3, 1985 - December 11, 1987

CAROLINA SECURITIES CORPORATION

BD
CRD#: 142
Past

September 23, 1980 - October 17, 1985

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

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

IAR
North Carolina
(6/21/2022)
RR
North Carolina
(6/28/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/16/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/24/1986
General Securities Sales Supervisor Examination (Options Module & General Module)
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)
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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)

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

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#: 149124Raleigh, NC 27609

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