Clifford Darrell Sorel

Capital Investment Advisory Services, LLC

39 Years of Experience

2 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningTax PlanningEstate PlanningFinancial Planning & Coaching

Capital Investment Advisory Services, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

106 advisors

Number of Clients

5,673 clients

Average Client Portfolio

$340K average

Assets Under Management

$1.9B

Fee Structure

Minimum Annual Fee:$500

Location

131 E Innes Street, Suite 307, Salisbury, NC, 28144

Get directions

History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Employment Separation After Allegations

July 2018

Customer Dispute

May 2012

Denied

View Full SEC Report How to Read Disclosures

Other Business Activities

Clifford is a member of the Salisbury Rotary Club, a civic organization. He spends a few hours per week on this non-investment related activity.

Employment History

Current Registrations

Capital Investment Advisory Services, LLC

October 2018 - Present · 7 yrs 4 mos

Capital Investment Group, INC.

August 2018 - Present · 7 yrs 6 mos

Capital Investment Group, INC.Broker

August 2018 - Present · 7 yrs 6 mos

Previous Registrations

Raymond James Financial Services Advisors, INC

May 2015 - July 2018 · 3 yrs 2 mos

Raymond James Financial Services, INC.Broker

May 2015 - July 2018 · 3 yrs 2 mos

Wells Fargo Advisors, LLC

May 2004 - May 2015 · 11 yrs

Wells Fargo Advisors, LLCBroker

February 2001 - May 2015 · 14 yrs 3 mos

Banc of America Investment Services, INC.Broker

January 1998 - February 2001 · 3 yrs 1 mo

NationssecuritiesBroker

July 1993 - January 1998 · 4 yrs 6 mos

Dean Witter Reynolds INC.Broker

September 1990 - July 1993 · 2 yrs 10 mos

Thomas James Associates, INC.Broker

September 1986 - October 1990 · 4 yrs 1 mo

State Registrations7 states

MSNCNJNYSCTXVA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.