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Detailed Report
CHARLES LEWIS SOWERS
CHARLIE L SOWERS
CRD#: 1226861
IA
Investment Adviser
B
Broker
CAPITAL INVESTMENT ADVISORY SERVICES, LLCCRD#: 149124 120 E COUNCIL ST
SALISBURY, NC 28144
CAPITAL INVESTMENT GROUP, INC.CRD#: 14752 120 E. COUNCIL STREET
SALISBURY, NC 28144
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - 2015 (4 years)2 FIRMS2015 - 2019 (4 years)2 FIRMS2019 - Present (5 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (4 years)BTHE ROBINSON-HUMPHREY COMPANY INC. (CRD# 723)1984 - 1988 (4 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2001 - 2009 (7 years)
License(s)

State Registrations

B
Illinois 6/20/2019
IA
North Carolina 6/20/2019
B
Indiana 10/28/2019
B
South Carolina 6/20/2019
B
Kentucky 1/23/2020
B
Tennessee 6/20/2019
B
North Carolina 6/20/2019
B
Virginia 6/20/2019

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CAPITAL INVESTMENT GROUP, INC. (CRD#:14752)
120 E. COUNCIL STREET, SALISBURY, NC 28144
120 EAST COUNCIL STREET SUITE 600, SALISBURY, NC 28144
Registered with this firm since 6/20/2019
IA
CAPITAL INVESTMENT ADVISORY SERVICES, LLC (CRD#:149124)
120 E COUNCIL ST, SALISBURY, NC 28144
Registered with this firm since 6/20/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/27/2015 - 06/21/2019 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) SALISBURY, NC
B
 05/22/2015 - 06/21/2019 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) SALISBURY, NC
IA
 07/21/2010 - 05/27/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) SALISBURY, NC
B
 07/21/2010 - 05/27/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) SALISBURY, NC
IA
 06/01/2009 - 07/29/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SALISBURY, NC
B
 06/01/2009 - 07/29/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SALISBURY, NC
IA
 12/31/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SALISBURY, NC
B
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SALISBURY, NC
B
 09/26/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 01/25/1984 - 09/28/1988 THE ROBINSON-HUMPHREY COMPANY INC. (CRD#:723)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.