Frank ShieldsCRD Number: 1027211
Current Firm: Capital Investment Advisory Services, LLC
Frank Shields (CRD# 1027211) is an Investment Advisor Representative working at Capital Investment Advisory Services, LLC in Rocky Mount, NC and has over 35 years of experience in the finance industry.
Emerald Asset Management, Inc.
Whitener Capital Management, Inc.
|Capital Investment Brokerage, Inc.||Rocky Mount, NC||Apr 1997 - Current||20|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1982|
|S65||NASAA Investment Advisors Law Examination||Dec 2007|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Judgments / Liens
Total Assets Under Management380MILLIONS
Total Number of Accounts2,458ACCOUNTS
Average Account Value$154,596
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AL, CA, CO, DC, FL, GA, IL, LA, MA, MD, NC, NH, NY, OH, PA, SC, TN, TX, VA, WA