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JAMES RUSSELL BEAM
JAMES R BEAM
CRD#: 3100047
IA
Investment Adviser
B
Broker
SOLLINDA CAPITAL MANAGEMENT LLCCRD#: 321742 200 First Ave NW
Suite 303
Hickory, NC 28601
CAPITAL INVESTMENT GROUP, INC.CRD#: 14752 200 FIRST AVENUE NW
STE 303
HICKORY, NC 28601
Registration History
1998200020022004200620082010201220142016201820202022202420263 FIRMS2002 - 2002 (<1 year)2 FIRMS2002 - 2004 (2 years)IASOLLINDA CAPITAL MANAGEMENT LLC (CRD# 321742)2024 - Present (1 year)BCAPITAL INVESTMENT GROUP, INC. (CRD# 14752)2012 - Present (12 years)BALLSTATE FINANCIAL SERVICES, LLC (CRD# 18272)2004 - 2012 (7 years)BWACHOVIA SECURITIES, INC. (CRD# 431)1998 - 2002 (3 years)IACAPITAL INVESTMENT ADVISORY SE... (CRD# 149124)2023 - 2023 (<1 year)
Disclosure(s)
View By:
11/23/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Louisiana 4/16/2024

IA
North Carolina 1/2/2024

B
North Carolina 6/27/2012

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SOLLINDA CAPITAL MANAGEMENT LLC (CRD#:321742)
200 First Ave NW Suite 303, Hickory, NC 28601
Registered with this firm since 1/2/2024

B
CAPITAL INVESTMENT GROUP, INC. (CRD#:14752)
200 FIRST AVENUE NW STE 303, HICKORY, NC 28601
Registered with this firm since 6/27/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/17/2023 - 12/26/2023 CAPITAL INVESTMENT ADVISORY SERVICES, LLC (CRD#:149124) HICKORY, NC
B
10/11/2004 - 06/27/2012 ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272) CHERRYVILLE, NC
IA
07/30/2002 - 10/06/2004 MORGAN STANLEY (CRD#:7556) HUNTERSVILLE, NC
B
07/30/2002 - 10/06/2004 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
IA
06/21/2002 - 08/15/2002 WACHOVIA SECURITIES, INC. (CRD#:19616) GASTONIA, NC
B
06/15/2002 - 08/15/2002 WACHOVIA SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
IA
01/28/2002 - 06/21/2002 WACHOVIA SECURITIES, INC. (CRD#:431) GASTONIA, NC
B
09/23/1998 - 06/15/2002 WACHOVIA SECURITIES, INC. (CRD#:431) CHARLOTTE, NC
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B
Broker
IA
Investment Adviser
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.