AH
Alex B. Hargrove
CAPITAL INVESTMENT ADVISORY SERVICES
WILMINGTON, NC 28403
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CRD#: 839820
AH
Professional summary
Alex Blow Hargrove SR, who also goes by Alex B Hargrove, Alex B Hargrove Sr., is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Wilmington, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Wilmington, North Carolina.
Alex is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Alex has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, PC, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alex B Hargrove | Alex B Hargrove Sr.
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. Good Shepherd Ministries. 811 Martin Street Wilmington,NC 28403. Charity. Provide shelter and food for the homeless. Member of Board of Directors. Help advise the organization to achieve its mission statement. Start Date 06/23/2017. Non profit corporation 2. Family Farms in Edgecombe County, NC. Hargrove Loop Road, Tarboro, NC-owner. Collect rent on the first of every year. Not investment related. 0 hours during normal trading hours. 3. HARGROVE FINANCIAL, LLC. OWNER. 2017 TRINITY AVENUE, WILMINGTON, NC 28411. STARTED 3/2019. SOLE OWNER OF LLC, NO CURRENT ACTIVITY. 0 HRS/WK, 0 DURING NORMAL TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Alex Blow Hargrove SR'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
March 13, 2019 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 5815 Oleander Drive Suite 320, Wilmington, NC 28403RIA
CRD#: 149124
WILMINGTON, NC
Current
March 12, 2019 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 2017 Trinity Avenue, Wilmington, NC 28411BD
CRD#: 14752
WILMINGTON, NC
Past
November 12, 2002 - March 8, 2019
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WILMINGTON, NC
Past
November 8, 2002 - March 8, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WILMINGTON, NC
Past
September 16, 2002 - November 12, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WILSON, NC
Past
September 26, 1978 - November 12, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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
Florida(5/22/2019)
RR
Hawaii(5/29/2019)
RR
Illinois(6/27/2019)
RR
Nevada(2/26/2021)
RR
New York(3/12/2019)
RR
North Carolina(3/22/2019)
IAR
North Carolina(3/22/2019)
RR
Oregon(5/10/2019)
RR
Pennsylvania(3/12/2019)
RR
South Carolina(3/25/2019)
RR
Virginia(6/23/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 7/12/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/11/1989
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
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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
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.
Company Information
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124Wilmington, NC 28403TRUST BUT VERIFY
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