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Detailed Report
BENJAMIN TIMOTHY BROOKS III
BEN BROOKS
CRD#: 2206321
IA
Investment Adviser
B
Broker
CAPITAL INVESTMENT ADVISORY SERVICES, LLCCRD#: 149124 100 E. SIX FORKS ROAD
SUITE 200
RALEIGH, NC 27609
CAPITAL INVESTMENT GROUP, INC.CRD#: 14752 100 E. SIX FORKS ROAD
STE 200
RALEIGH, NC 27609
Registration History
1995200020052010201520202025IACAPITAL INVESTMENT ADVISORY SE... (CRD# 149124)2013 - Present (12 years)BCAPITAL INVESTMENT GROUP, INC. (CRD# 14752)2001 - Present (23 years)BJOSEPHTHAL & CO., INC. (CRD# 3227)2001 - 2001 (<1 year)BMARION BASS SECURITIES CORPORATION (CRD# 7961)1997 - 2001 (4 years)BWHEAT, FIRST SECURITIES, INC. (CRD# 6124)1992 - 1997 (5 years)IACIC ADVISERS, LLC (CRD# 130735)2006 - 2012 (6 years)
License(s)

State Registrations

B
Arizona 11/14/2017
IA
North Carolina 1/2/2013
B
Florida 7/19/2010
B
Pennsylvania 11/12/2014
B
Georgia 11/12/2014
B
South Carolina 8/31/2001
B
Maine 12/8/2021
B
Texas 8/23/2018
B
New Hampshire 12/8/2021
B
Virginia 8/31/2001
B
North Carolina 8/31/2001

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)
IA
CAPITAL INVESTMENT ADVISORY SERVICES, LLC (CRD#:149124)
100 E. SIX FORKS ROAD SUITE 200, RALEIGH, NC 27609
Registered with this firm since 1/2/2013
B
CAPITAL INVESTMENT GROUP, INC. (CRD#:14752)
100 E. SIX FORKS ROAD STE 200, RALEIGH, NC 27609
Registered with this firm since 8/31/2001
Previous Registration(s)
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IA
 06/01/2006 - 12/31/2012 CIC ADVISERS, LLC (CRD#:130735) RALEIGH, NC
B
 02/09/2001 - 09/19/2001 JOSEPHTHAL & CO., INC. (CRD#:3227) NEW YORK, NY
B
 02/03/1997 - 02/20/2001 MARION BASS SECURITIES CORPORATION (CRD#:7961) CHARLOTTE, NC
B
 02/26/1992 - 02/28/1997 WHEAT, FIRST SECURITIES, INC. (CRD#:6124) CHARLOTTE, NC
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.