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Charles Pendergraft

Capital Investment Advisory Services, LLC
32 Years of Experience
Charlotte, NC
3 DisclosuresBroker
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Charles Pendergraft is a registered investment advisor at Capital Investment Advisory Services, LLC, based in Charlotte, NC, with 32 years of industry experience. Charles 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
—
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Location

Charlotte, NC

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History

Regulatory History (3)
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.
Customer Dispute
June 2009
Denied
Customer Dispute
October 2008
Denied
Customer Dispute
October 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Charles owns Fall Creek Farm, engaging in farming and agriculture since 2015. This takes about a quarter of his time, with some hours during normal trading hours.

Employment History
Current Registrations
Capital Investment Advisory Services, LLC
June 2011 - Present · 15 yrs 4 mos
Capital Investment Group, INC.Broker
June 2011 - Present · 15 yrs 4 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2009 - June 2011 · 1 yr 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2009 - June 2011 · 1 yr 10 mos
Wells Fargo Advisors, LLC
October 2002 - August 2009 · 6 yrs 10 mos
Wells Fargo Advisors, LLCBroker
June 2002 - August 2009 · 7 yrs 2 mos
Wachovia Securities, INC.Broker
October 2000 - June 2002 · 1 yr 8 mos
First Citizens Investor Services, INC.Broker
April 1998 - October 2000 · 2 yrs 6 mos
Uvest Investment ServicesBroker
May 1995 - July 1998 · 3 yrs 2 mos
Northwestern Mutual Investment Services, INC.Broker
January 1991 - March 1992 · 1 yr 2 mos
Robert W. Baird & CO. IncorporatedBroker
January 1991 - March 1992 · 1 yr 2 mos
State Registrations23 states
ARCACOFLGAIAILKYMDMEMNMOMSNCNJNVNYOHPASCTNTXVA
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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