James Beam
James Beam is a registered investment advisor at Capital Investment Advisory Services, LLC, based in Cherryville, NC, with 28 years of industry experience. James 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.
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% |
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
Location
Cherryville, NC
Get directionsHistory
Regulatory History (1)
Customer Dispute
November 2002Other Business Activities
James is involved in several outside business activities, including serving as Chairman of the Cherryville ABC Board of Directors, a board member for the NC Association of ABC Boards, and an agent for Tarkenton Financial. He also works as an Investment Advisor Representative for Sollinda Capital Management, LLC and with Capital Investment Group, Inc.
Employment History
Current Registrations
Capital Investment Advisory Services, LLC
Capital Investment Group, INC.Broker
Previous Registrations
Sollinda Capital Management LLC
Capital Investment Advisory Services, LLC
Allstate Financial Services, LLCBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Wachovia Securities, INC.
Wachovia Securities, INC.Broker
Wachovia Securities, INC.
Wachovia Securities, INC.Broker
State Registrations6 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.