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RIA / WealthAdvisorCertified Financial Planner28 years in industry

ERIK EDWARD BABOCSI

Advisor at CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RALEIGH, NC | HOLLY SPRINGS, NC

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Search this name across graphsid dfx:ria:57be3038-5f74-750d-504e-dbdca7b395dc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 19, 2002 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: Dec 22, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Dec 22, 1997
First registration: Dec 19, 2002
Dual registered: no
IAPD individual key: 2957828

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	Jun 8, 2009	n/a	yes	RALEIGH, NC\|HOLLY SPRINGS, NC	Current employment
CIC ADVISERS, LLC	n/a	Apr 15, 2009	Dec 31, 2012	no	RALEIGH, NC	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 6, 2005	Apr 22, 2009	no	RALEIGH, NC\|WEEHAWKEN, NJ\|DURHAM, NC\|CHAPEL HILL, NC	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Dec 19, 2002	Apr 7, 2005	no	CHAPEL HILL, 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
CIC ADVISERS, LLC	CAPITAL INVESTMENT ADVISORY SERVICES, LLC	Dec 31, 2012	Jun 8, 2009	-1,302	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	CIC ADVISERS, LLC	Apr 22, 2009	Apr 15, 2009	-7	Firm change	Other
CHARLES SCHWAB & CO., INC.	UBS FINANCIAL SERVICES INC.	Apr 7, 2005	Apr 6, 2005	-1	Firm change	Ibd to wirehouse

Relationships

Registered with (4)

→ CAPITAL INVESTMENT ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Jun 8, 2009 to presentfactForm ADV
→ CIC ADVISERS, LLCRegistered adviserregistration: previous registration
Apr 15, 2009 to Dec 31, 2012factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Apr 6, 2005 to Apr 22, 2009factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Dec 19, 2002 to Apr 7, 2005factForm ADV

Dated events

No dated event names this entity yet.