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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Pendergraft is a registered investment advisor representative for Capital Investment Advisory Services, LLC. Charles is based in Raleigh, North Carolina and has been in the industry since March 17, 1994. Charles is a licensed and registered professional with 22 years of experience in providing investment advisory services. Charles holds Series 6, 7, 63 and 65 securities licenses as well as the SIE exam.
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.
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2
NC
07/24/2011 - Present
Capital Investment Advisory Services, LLC (RALEIGH NC)
NC
08/21/2009 - 06/17/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LENOIR NC)
NC
06/15/2002 - 08/26/2009
WELLS FARGO ADVISORS, LLC (LENOIR NC)
NC
10/30/2000 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NC
04/16/1998 - 10/13/2000
FIRST CITIZENS INVESTOR SERVICES, INC. (RALEIGH NC)
NC
05/17/1995 - 07/29/1998
UVEST INVESTMENT SERVICES (CHARLOTTE NC)
WI
01/16/1991 - 03/31/1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (MILWAUKEE WI)
WI
01/16/1991 - 03/31/1992
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 02/19/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/25/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/1995
Series 7 - General Securities Representative Examination
BC
Issued 01/15/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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