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Frank Shields

Capital Investment Advisory Services, LLC
44 Years of Experience
Rocky Mount, NC
2 DisclosuresBroker
View SEC Summary
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Frank Shields is a registered investment advisor at Capital Investment Advisory Services, LLC, based in Rocky Mount, NC, with 44 years of industry experience. Frank is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 6,276 clients with $2.4B in assets under management.

Capital Investment Advisory Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
103 advisors
Number of Clients
6,276 clients
Average Client Portfolio
$381K average
Assets Under Management
$2.4B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Minimum Annual Fee:$500
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Basic annual fee schedule is up to 2% annually, which is negotiable based on client circumstances. Accounts may be subject to a minimum annual fee of $500.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

1151 Falls Rd, Ste 2024, Rocky Mount, NC, 27804

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History

Regulatory History (2)
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Judgment / Lien
June 2013
Judgment / Lien
November 2012
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Capital Investment Advisory Services, LLC
February 2013 - Present · 13 yrs 8 mos
Capital Investment Brokerage, INC.Broker
April 1997 - Present · 29 yrs 6 mos
Previous Registrations
Cic Advisers, LLC
February 2008 - December 2012 · 4 yrs 10 mos
Capital Investment Group, INC.Broker
July 1995 - April 1997 · 1 yr 9 mos
First Montauk Securities CORP.Broker
September 1990 - July 1995 · 4 yrs 10 mos
Wheat, First Securities, INC.Broker
January 1982 - September 1990 · 8 yrs 8 mos
State Registrations13 states
ALCAFLGAINKSMANCNJNYOHTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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