Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
WELTON CORTEZ SMITH JR.
SKIP SMITH, WELTON C SMITH, WELTON CORTEZ SMITH JR
CRD#: 1610459
IA
B
CAPITAL INVESTMENT ADVISORY SERVICES, LLCCRD#: 149124 157 OLD MARKET SQUARE
EASLEY, SC 29641
EASLEY, SC 29641
CAPITAL INVESTMENT GROUP, INC.CRD#: 14752 157 OLD MARKET SQUARE
EASLEY, SC 29641
EASLEY, SC 29641
0
Disclosures
38
Years of Experience
View By:
State Registrations
B
Arizona 6/10/2019
B
North Carolina 1/2/2004
B
California 12/12/2006
B
Pennsylvania 10/15/2024
B
Colorado 11/28/2005
B
South Carolina 1/2/2004
B
District of Columbia 4/20/2015
IA
South Carolina 1/7/2013
B
Georgia 10/11/2004
B
Texas 12/12/2006
B
Kentucky 1/8/2010
B
Utah 9/28/2011
B
Maryland 11/2/2012
B
Virginia 12/12/2006
B
New York 2/1/2012
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 1/7/2013
B
Registered with this firm since 1/2/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/28/2004 - 12/31/2012 | GREENVILLE, SC | |
B | 10/12/1994 - 12/31/2003 | GREENVILLE, SC | |
B | 08/06/1993 - 10/17/1994 | RALEIGH, NC | |
B | 04/23/1992 - 08/09/1993 | GREENVILLE, SC | |
B | 06/02/1988 - 04/01/1992 | ||
B | 02/24/1987 - 04/01/1992 | CHARLOTTE, NC | |
B | 03/07/1988 - 06/09/1988 |
GREENVILLE, SC
07/28/2004 - 12/31/2012
For additional information about investment advisers or broker-dealers, please visit
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.