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TIMOTHY CRAIG HUCKS
TIM HUCKS
CRD#: 1023012
IA
B
CAPITAL INVESTMENT ADVISORY SERVICES, LLCCRD#: 149124 CHAPEL HILL, NC
CAPITAL INVESTMENT GROUP, INC.CRD#: 14752 CHAPEL HILL, NC
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11/7/2022
Customer Dispute
Settled
State Registrations
B
District of Columbia 11/24/2015
B
North Carolina 4/5/1993
B
Florida 11/10/2022
IA
North Carolina 4/28/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/28/2022
B
Registered with this firm since 4/5/1993
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/16/2015 - 03/28/2023 | CHAPEL HILL, NC | |
B | 04/06/1992 - 04/05/1993 | ||
B | 06/07/1990 - 04/10/1992 | KNOXVILLE, TN | |
B | 12/02/1986 - 06/20/1990 | NEWARK, DE | |
B | 08/14/1985 - 11/26/1986 | ||
B | 03/24/1982 - 08/26/1985 |
CHAPEL HILL, NC
02/16/2015 - 03/28/2023
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.