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RICHARD WAYNE GARDNER JR
RICHARD WAYNE GARDNER, RICK GARDNER
CRD#: 2813612
IA
B
CAPITAL INVESTMENT ADVISORY SERVICES, LLCCRD#: 149124 RALEIGH, NC
CAPITAL INVESTMENT GROUP, INC.CRD#: 14752 3605 GLENWOOD AVENUE
STE 160
RALEIGH, NC 27612
STE 160
RALEIGH, NC 27612
0
Disclosures
28
Years of Experience
View By:
State Registrations
B
Arizona 10/22/2014
B
New Mexico 12/20/2007
B
California 5/2/2006
B
New York 10/12/2006
B
Colorado 10/27/2016
B
North Carolina 4/24/2002
B
Connecticut 11/2/2016
IA
North Carolina 1/2/2013
B
Delaware 8/29/2016
B
Pennsylvania 7/13/2016
B
Florida 1/3/2006
B
Puerto Rico 8/2/2022
B
Georgia 4/24/2002
B
South Carolina 4/24/2002
B
Illinois 5/7/2013
B
Texas 9/21/2016
B
Maryland 1/5/2012
B
Vermont 9/4/2024
B
Mississippi 5/12/2014
B
Virginia 4/24/2002
B
Nebraska 9/28/2011
B
West Virginia 2/19/2010
B
New Jersey 7/15/2019
SRO Registrations
B
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IA
Registered with this firm since 1/2/2013
B
Registered with this firm since 4/24/2002
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/01/2006 - 12/31/2012 | CARY, NC | |
B | 10/01/1997 - 05/07/2002 | FORT WAYNE, IN | |
B | 10/22/1996 - 10/01/1997 | FORT WAYNE, IN |
CARY, NC
03/01/2006 - 12/31/2012
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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.