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Detailed Report
JOHN MATTHEW PALKO
CRD#: 2991951
IA
Investment Adviser
B
Broker
CAPITAL INVESTMENT ADVISORY SERVICES, LLCCRD#: 149124 8700 BARRELLI COURT
CHARLOTTE, NC 28277
CAPITAL INVESTMENT GROUP, INC.CRD#: 14752 352 EAST CHARLES STREET
MATTHEWS, NC 28105
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2013 (7 years)2 FIRMS2013 - 2017 (4 years)2 FIRMS2018 - Present (7 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)2000 - 2005 (5 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1999 - 2000 (<1 year)IALEGG MASON WOOD WALKER INC (CRD# 6555)2001 - 2005 (3 years)
License(s)

State Registrations

B
Florida 9/23/2021
B
South Carolina 1/5/2018
B
Maryland 10/17/2024
B
Tennessee 1/10/2019
B
North Carolina 1/5/2018
B
Texas 10/24/2024
IA
North Carolina 1/5/2018
B
Virginia 1/5/2018

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)
8700 BARRELLI COURT, CHARLOTTE, NC 28277
Registered with this firm since 1/5/2018
B
CAPITAL INVESTMENT GROUP, INC. (CRD#:14752)
352 EAST CHARLES STREET, MATTHEWS, NC 28105
Registered with this firm since 1/5/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/02/2013 - 12/14/2017 BB&T SECURITIES, LLC (CRD#:142785) CHARLOTTE, NC
B
 01/02/2013 - 12/14/2017 BB&T SECURITIES, LLC (CRD#:142785) CHARLOTTE, NC
IA
 11/04/2005 - 01/02/2013 SCOTT & STRINGFELLOW, LLC (CRD#:6255) CHARLOTTE, NC
B
 10/28/2005 - 01/02/2013 SCOTT & STRINGFELLOW, LLC (CRD#:6255) CHARLOTTE, NC
IA
 12/31/2001 - 11/04/2005 LEGG MASON WOOD WALKER INC (CRD#:6555) CHARLOTTE, NC
B
 05/25/2000 - 11/04/2005 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
 08/17/1999 - 05/26/2000 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
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.