Charles Pendergraft
Charles Pendergraft is a registered investment advisor at Capital Investment Advisory Services, LLC, based in Charlotte, NC, with 32 years of industry experience. Charles operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 5,673 clients with $1.9B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
The standard fee is 2% annually, but it may be negotiable. CIAS may also recommend third-party managed accounts, where fees are determined by the third-party provider, but the total combined advisory fee should not exceed 2%.
Fee Estimator
Location
Charlotte, NC
Get directionsHistory
Regulatory History (3)
Customer Dispute
June 2009Customer Dispute
October 2008Customer Dispute
October 2008Other 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
Capital Investment Group, INC.Broker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Wachovia Securities, INC.Broker
First Citizens Investor Services, INC.Broker
Uvest Investment ServicesBroker
Northwestern Mutual Investment Services, INC.Broker
Robert W. Baird & CO. IncorporatedBroker
State Registrations23 states
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.