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Detailed Report
MATTHEW DUNLAP VAUGHAN
MATT VAUGHAN, Matthew D Vaughan
CRD#: 4734008
IA
Investment Adviser
B
Broker
CAPITAL INVESTMENT ADVISORY SERVICES, LLCCRD#: 149124 862 COUNTRY CLUB RD
ROCKY MOUNT, NC 27804
CAPITAL INVESTMENT BROKERAGE, INC.CRD#: 40657 862 COUNTRY CLUB DRIVE
ROCKY MOUNT, NC 27804
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2015 (8 years)2 FIRMS2015 - 2015 (<1 year)2 FIRMS2015 - 2020 (4 years)2 FIRMS2020 - Present (4 years)
License(s)

State Registrations

B
Alabama 11/2/2023
B
North Carolina 9/5/2020
B
Georgia 2/11/2021
B
Ohio 11/5/2020
B
New Jersey 4/11/2021
B
Virginia 11/6/2020
IA
North Carolina 9/4/2020
B
West Virginia 1/13/2023

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)
862 COUNTRY CLUB RD, ROCKY MOUNT, NC 27804
Registered with this firm since 9/4/2020
B
CAPITAL INVESTMENT BROKERAGE, INC. (CRD#:40657)
862 COUNTRY CLUB DRIVE, ROCKY MOUNT, NC 27804
Registered with this firm since 9/4/2020
Previous Registration(s)
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IA
 11/04/2015 - 09/22/2020 ACORN FINANCIAL ADVISORY SERVICES, INC. (CRD#:116763) Goldsboro, NC
B
 10/30/2015 - 09/04/2020 THE STRATEGIC FINANCIAL ALLIANCE, INC. (CRD#:126514) GOLDSBORO, NC
IA
 06/12/2015 - 11/04/2015 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) GOLDSBORO, NC
B
 03/25/2015 - 11/04/2015 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) GOLDSBORO, NC
B
 06/13/2006 - 03/18/2015 CAPITAL INVESTMENT BROKERAGE, INC. (CRD#:40657) RALEIGH, NC
B
 06/13/2006 - 03/18/2015 CAPITAL INVESTMENT GROUP, INC. (CRD#:14752) RALEIGH, 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.