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FRANK HODGIN SHIELDS
CRD#: 1027211
IA
Investment Adviser
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Broker
CAPITAL INVESTMENT ADVISORY SERVICES, LLCCRD#: 149124 862 COUNTRY CLUB ROAD
ROCKY MOUNT, NC 27804
CAPITAL INVESTMENT BROKERAGE, INC.CRD#: 40657 862 COUNTRY CLUB DRIVE
ROCKY MOUNT, NC 27804
Registration History
198519901995200020052010201520202025IACAPITAL INVESTMENT ADVISORY SE... (CRD# 149124)2013 - Present (11 years)BCAPITAL INVESTMENT BROKERAGE, INC. (CRD# 40657)1997 - Present (27 years)BCAPITAL INVESTMENT GROUP, INC. (CRD# 14752)1995 - 1997 (1 year)BFIRST MONTAUK SECURITIES CORP. (CRD# 13755)1990 - 1995 (4 years)BWHEAT, FIRST SECURITIES, INC. (CRD# 6124)1982 - 1990 (8 years)IACIC ADVISERS, LLC (CRD# 130735)2008 - 2012 (4 years)
Disclosure(s)
View By:
6/10/2013
Judgment / Lien
11/5/2012
Judgment / Lien
License(s)

State Registrations

B
Alabama 4/21/2020

B
New York 1/13/2003

B
California 12/12/2006

B
North Carolina 4/2/1997

B
Florida 4/2/1997

IA
North Carolina 2/6/2013

B
Georgia 9/25/2009

B
Ohio 4/17/2020

B
Indiana 9/25/2009

B
Texas 5/10/2017

B
Massachusetts 4/16/2021

B
Virginia 4/2/2013

B
New Jersey 5/3/2022

B
West Virginia 1/23/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAPITAL INVESTMENT ADVISORY SERVICES, LLC (CRD#:149124)
862 COUNTRY CLUB ROAD, ROCKY MOUNT, NC 27804
Registered with this firm since 2/6/2013

B
CAPITAL INVESTMENT BROKERAGE, INC. (CRD#:40657)
862 COUNTRY CLUB DRIVE, ROCKY MOUNT, NC 27804
171 NORTH WINSTEAD AVENUE, ROCKY MOUNT, NC 27804
Registered with this firm since 4/2/1997

Previous Registration(s)
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IA
02/15/2008 - 12/31/2012 CIC ADVISERS, LLC (CRD#:130735) RALEIGH, NC
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07/03/1995 - 04/09/1997 CAPITAL INVESTMENT GROUP, INC. (CRD#:14752) RALEIGH, NC
B
09/17/1990 - 07/06/1995 FIRST MONTAUK SECURITIES CORP. (CRD#:13755) RED BANK, NJ
B
01/25/1982 - 09/26/1990 WHEAT, FIRST SECURITIES, INC. (CRD#:6124) CHARLOTTE, NC
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B
Broker
IA
Investment Adviser
Disclosures
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.