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Benjamin Brooks

Capital Investment Advisory Services, LLC
34 Years of Experience
Raleigh, NC
Broker
View SEC Summary
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Benjamin Brooks is a registered investment advisor at Capital Investment Advisory Services, LLC, based in Raleigh, NC, with 34 years of industry experience. Benjamin 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

100 E. Six Forks Road, Suite 200, Raleigh, NC, 27609

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Benjamin is a founding partner of Southern Capital Technology Fund, providing research services and evaluating private companies. This investment-related activity takes minimal time.

Employment History
Current Registrations
Capital Investment Advisory Services, LLC
January 2013 - Present · 13 yrs 9 mos
Capital Investment Group, INC.Broker
August 2001 - Present · 25 yrs 2 mos
Previous Registrations
Cic Advisers, LLC
June 2006 - December 2012 · 6 yrs 6 mos
Josephthal & CO., INC.Broker
February 2001 - September 2001 · 7 mos
Marion Bass Securities CorporationBroker
February 1997 - February 2001 · 4 yrs
Wheat, First Securities, INC.Broker
February 1992 - February 1997 · 5 yrs
State Registrations7 states
AZFLMENCSCTXVA
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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