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Tammie Farrell

Capital Investment Advisory Services, LLC
31 Years of Experience
Franklin, NC
8 DisclosuresBrokerSells Insurance
View SEC Summary
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Tammie Farrell is a registered investment advisor at Capital Investment Advisory Services, LLC, based in Franklin, NC, with 31 years of industry experience. Tammie 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
103 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

175 East Main Street, Ste E, Franklin, NC, 28734

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History

Regulatory History (8)
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 2025
Settled
Customer Dispute
December 2024
Settled
Customer Dispute
September 2024
Settled
Customer Dispute
March 2024
Settled
Customer Dispute
October 2023
Settled
Customer Dispute
February 2023
Settled
Customer Dispute
November 2022
Settled
Customer Dispute
October 2022
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Tammie is the owner and a financial consultant at Farrell Wealth & Associates, LLC since 2019, where she works as a financial advisor for securities and insurance business. This is a full-time commitment for Tammie.

Employment History
Current Registrations
Capital Investment Advisory Services, LLC
October 2012 - Present · 14 yrs
Capital Investment Group, INC.Broker
October 2012 - Present · 14 yrs
Previous Registrations
Wells Fargo Advisors, LLC
July 2006 - October 2012 · 6 yrs 3 mos
Wells Fargo Advisors, LLCBroker
October 2000 - October 2012 · 12 yrs
First Union Brokerage Services, INC.Broker
February 2000 - October 2000 · 8 mos
Bisys Brokerage Services, INC.Broker
February 1998 - February 2000 · 2 yrs
Linsco/private Ledger CORP.Broker
February 1995 - February 1998 · 3 yrs
Suntrust Securities, INC.Broker
July 1994 - November 1994 · 4 mos
State Registrations6 states
ALAZFLGAMONC
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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