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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Timothy Brooks is a financial advisor in Raleigh, North Carolina. Benjamin has been in the industry since 1992, and is currently registered with Capital Investment Advisory Services, LLC. Benjamin has a number of certifications including Series 7, Series 63, Series 65, Series 8, Series 9, Series 10, Series 24, and SIE. Benjamin has previously worked at Josephthal & Co., Inc. and Marion Bass Securities Corporation. Benjamin is a Founding Partner of Southern Capital Technology Fund and has a history of working with charitable organizations, high-net-worth individuals, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NC
01/02/2013 - Present
Capital Investment Advisory Services, LLC (RALEIGH NC)
NY
02/09/2001 - 09/19/2001
JOSEPHTHAL & CO., INC. (NEW YORK NY)
NC
02/03/1997 - 02/20/2001
MARION BASS SECURITIES CORPORATION (CHARLOTTE NC)
NC
02/26/1992 - 02/28/1997
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
IA
Issued 03/12/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/28/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/10/2000
Series 24 - General Securities Principal Examination
BC
Issued 02/26/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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