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Clifford Sorel

Capital Investment Advisory Services, LLC
39 Years of Experience
Salisbury, NC
2 DisclosuresBroker
View SEC Summary
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Clifford Sorel is a registered investment advisor at Capital Investment Advisory Services, LLC, based in Salisbury, NC, with 39 years of industry experience. Clifford 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
102 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
—
View Full SEC Brochure

Location

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

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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 ReportHow 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 · 8 yrs
Capital Investment Group, INC.
August 2018 - Present · 8 yrs 2 mos
Capital Investment Group, INC.Broker
August 2018 - Present · 8 yrs 2 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

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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