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Investment Adviser Firm Summary

CAPITAL INVESTMENT ADVISORS, LLC (CRD# 158055 / SEC# 801-72532)
Alternate Names: CAPITAL INVESTMENT ADVISORS, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/07/2011

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 07/07/2011
Arizona 05/15/2017
California 07/07/2011
Colorado 02/13/2013
Delaware 02/08/2018
Florida 07/07/2011
Georgia 07/07/2011
Illinois 02/12/2016
Indiana 08/19/2015
Kentucky 08/19/2015
Louisiana 07/07/2011
Michigan 06/02/2015
Minnesota 05/15/2017
Mississippi 08/19/2015
Nebraska 07/07/2011
New Hampshire 07/07/2011
New Jersey 09/02/2015
New Mexico 11/13/2017
New York 02/13/2013
North Carolina 07/07/2011
Ohio 07/07/2011
Oklahoma 08/19/2015
Pennsylvania 07/07/2011
Puerto Rico 08/14/2017
South Carolina 07/07/2011
Tennessee 07/07/2011
Texas 07/07/2011
Utah 02/08/2018
Virginia 07/07/2011
Washington 08/19/2015
Wisconsin 02/13/2013

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser