Charles Upshaw
Charles Upshaw is a CFP-designated registered investment advisor at Capital Investment Advisory Services, LLC, based in Raleigh, NC, with 46 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.
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
1405 Hillsborough Street, Raleigh, NC, 27605
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Regulatory History
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.
Learn about disclosures →Other Business Activities
Charles is a member of the Rotary Club of Raleigh since 1987 and spends minimal time as a solicitor broker for the club foundation. He is also a trustee for the Hill-Pike House Trust, which was started in 2017, and spends minimal time on this activity.
Employment History
Current Registrations
Capital Investment Advisory Services, LLC
Capital Investment Brokerage, INC.Broker
Previous Registrations
Capital Investment Group, INC.Broker
Scott & Stringfellow, INC.Broker
T.L. Reed Securities, INC.Broker
Pebsco Securities CORP.Broker
Source Securities, INC.Broker
Wheat, First Securities, INC.Broker
State Registrations7 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.
Exams
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