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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

RICHARD ALLEN YERCHECK

Advisor at CAPITAL INVESTMENT ADVISORY SERVICES, LLC

MONROE, NC

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Search this name across graphsid dfx:ria:2a98c488-40f5-4b82-4208-dcb1c71cc60a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 14, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 15, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 15, 2000
First registration: May 14, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4056284

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAPITAL INVESTMENT ADVISORY SERVICES, LLC	Bd affiliated wealth	Apr 2, 2019	n/a	yes	MONROE, NC	Current employment
PROSPERA FINANCIAL SERVICES, INC.	Bd affiliated wealth	Jul 3, 2013	Mar 28, 2019	no	DALLAS, TX\|Matthews, NC\|MONROE, NC	Previous registration
TCA FINANCIAL GROUP, LLC	n/a	Sep 17, 2004	Jun 28, 2013	no	CHARLOTTE, NC\|CHARLOTTE, NC\|CONCORD, NC\|MATHEWS, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 14, 2003	Oct 4, 2004	no	CHARLOTTE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PROSPERA FINANCIAL SERVICES, INC.	CAPITAL INVESTMENT ADVISORY SERVICES, LLC	Mar 28, 2019	Apr 2, 2019	5	Firm change	RIA to ibd
TCA FINANCIAL GROUP, LLC	PROSPERA FINANCIAL SERVICES, INC.	Jun 28, 2013	Jul 3, 2013	5	Firm change	Other
WELLS FARGO ADVISORS	TCA FINANCIAL GROUP, LLC	Oct 4, 2004	Sep 17, 2004	-17	Firm change	Other

Relationships

Registered with (4)

→ CAPITAL INVESTMENT ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Apr 2, 2019 to presentfactForm ADV
→ PROSPERA FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 3, 2013 to Mar 28, 2019factForm ADV
→ TCA FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Sep 17, 2004 to Jun 28, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 14, 2003 to Oct 4, 2004factForm ADV

Dated events

No dated event names this entity yet.