BB
BB

Benjamin Timothy Brooks

33 Years of Experience
Broker
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningFinancial Planning & Coaching
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
106 advisors
Number of Clients
5,673 clients
Average Client Portfolio
$340K average
Assets Under Management
$1.9B

Fee Structure

Minimum Annual Fee:$500
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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 1 mo
Capital Investment Group, INC.Broker
August 2001 - Present · 24 yrs 6 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 Registrations10 states
AZFLGAMENCNHPASCTXVA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.