Benjamin A. Long
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.
Benjamin Alan Long, who also goes by Alan Long, B Alan Long, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1977. Benjamin had worked at 7 firms and has passed the Series 63, Series 99TO, Series 6TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2000 - September 25, 2025
CAPITAL INVESTMENT GROUP, INC.
April 16, 1998 - August 23, 2000
FIRST CITIZENS INVESTOR SERVICES, INC.
May 12, 1997 - July 29, 1998
UVEST FINANCIAL SERVICES GROUP, INC.
January 26, 1993 - May 6, 1997
JOHN HANCOCK DISTRIBUTORS LLC
August 29, 1989 - November 4, 1992
ROBERT W. BAIRD & CO. INCORPORATED
August 29, 1989 - November 13, 1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 4, 1984 - August 21, 1989
G. R. PHELPS & CO., INC.
March 4, 1977 - April 16, 1984
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 2/28/1977
Registered Representative ExaminationCurrent Firm
CAPITAL INVESTMENT GROUP, INC.
CRD#: 14752 / SEC#: , 8-31225
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| R.B.S.B. FAMILY TRUST | OWNER | |
| NICHOLSON, WILLIAM BATEMAN SR | SHAREHOLDER | 2585041 |
| BATTLE, RICHARD STAATS | SHAREHOLDER | 2349045 |
| BROOKS, BENJAMIN TIMOTHY III | PRESIDENT | 2206321 |
| BRYANT, RICHARD KING | CEO/TREASURER/FINOP/CO-TRUSTEE | 1069685 |
| DRESSLER, KURT ALAN | SHAREHOLDER | 2381036 |
| EDDINS, WILLIAM HAROLD JR | ASSISTANT VICE PRESIDENT | 1724993 |
| HARDEN, RONALD TODD | SHAREHOLDER | 1528810 |
| KING, RONALD LEE | CHIEF COMPLIANCE OFFICER | 2530489 |
| MCDONALD, CORNELIUS TRAWICK III | ASSISTANT VICE PRESIDENT | 1288377 |
| SADLER, SUZANNE BRYANT | CO-TRUSTEE | 6313854 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
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.
