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Erik Edward Babocsi

Capital Investment Advisory Services, LLC

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About Erik Edward Babocsi

Erik Babocsi is a financial advisor with Capital Investment Advisory Services, LLC in Raleigh, North Carolina. Erik has been in the financial industry since 1998. Erik offers financial planning and portfolio management services to individuals, businesses, and trusts. Erik is a Certified Financial Planner.

Firm Information

Erik Babocsi is currently registered with Capital Investment Advisory Services, LLC. Capital Investment Advisory Services, LLC is a registered investment advisor with the SEC, managing over $1.96 billion in assets for a diverse client base that includes individuals, high-net-worth individuals, corporations, charities, pension plans, and government entities. The firm offers a range of advisory services including financial planning, pension consulting, portfolio management, and selection of other advisors. Capital Investment Advisory Services is based in Raleigh, NC and has 91 licensed agents and 102 investment advisor representatives.
Capital Investment Advisory Services, LLC

100 E. SIX FORKS ROAD

RALEIGH, NC 27609

$1.97B

Assets Under Management

14

Total Clients

91

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Erik Babocsi’s Registration & Firm History

NC

06/08/2009 - Present

Capital Investment Advisory Services, LLC (RALEIGH NC)

NC

04/15/2009 - 05/15/2017

CAPITAL INVESTMENT GROUP, INC. (CARY NC)

NC

04/06/2005 - 04/22/2009

UBS FINANCIAL SERVICES INC. (DURHAM NC)

TX

07/20/1998 - 04/07/2005

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

TX

01/20/1998 - 06/09/1998

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

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Licenses & Designations

BOTH

Issued 12/10/2002

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/22/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/19/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/12/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 05/15/2017

SIE - Securities Industry Essentials Examination

BC

Issued 12/18/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There is public disclosure for Erik Edward Babocsi. Review regulatory record here.
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