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CHARLES BELL UPSHAW III
CHARLIE UPSHAW
CRD#: 712077
IA
B
CAPITAL INVESTMENT ADVISORY SERVICES, LLCCRD#: 149124 1405 HILLSBOROUGH STREET
RALEIGH, NC 27605
RALEIGH, NC 27605
CAPITAL INVESTMENT BROKERAGE, INC.CRD#: 40657 1405 HILLSBOROUGH STREET
RALEIGH, NC 27605
RALEIGH, NC 27605
0
Disclosures
44
Years of Experience
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State Registrations
B
Colorado 4/20/2022
IA
North Carolina 9/8/2010
B
Florida 12/12/2006
B
South Carolina 3/14/2011
B
Georgia 4/2/1997
B
Texas 12/18/1998
B
Kentucky 6/12/2020
B
Virginia 11/9/2010
B
North Carolina 4/2/1997
SRO Registrations
B
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IA
Registered with this firm since 9/8/2010
B
Registered with this firm since 4/2/1997
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/04/1995 - 04/09/1997 | RALEIGH, NC | |
B | 01/12/1994 - 04/11/1995 | RICHMOND, VA | |
B | 11/15/1985 - 01/10/1994 | COLUMBUS, OH | |
B | 06/09/1989 - 12/20/1989 | ||
B | 11/07/1985 - 04/25/1989 | ||
B | 07/23/1980 - 10/21/1985 |
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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.