Doris F. Davis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Doris Frances Davis was a registered financial professional .
Doris is a previously registered financial professional and started their career in finance in 1983. Doris had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2009 - September 23, 2020
CAPITOL SECURITIES MANAGEMENT, INC.
May 7, 2003 - October 7, 2009
CAPITOL SECURITIES & ASSOCIATES, INC.
November 3, 1999 - May 6, 2003
COMMONWEALTH FINANCIAL NETWORK
March 2, 1995 - May 6, 2003
COMMONWEALTH FINANCIAL NETWORK
October 6, 1993 - March 6, 1995
BOLTON GLOBAL CAPITAL
March 16, 1993 - September 27, 1993
G.R. STUART & COMPANY, INC.
August 30, 1991 - March 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
April 30, 1990 - August 12, 1991
CAPITOL SECURITIES & ASSOCIATES, INC.
June 27, 1988 - May 9, 1990
MOORS & CABOT, INC.
October 22, 1987 - June 11, 1988
NORTH AMERICAN INVESTMENT CORP.
September 8, 1986 - November 2, 1987
W.A. ROGERS SECURITIES, INC.
December 23, 1985 - September 16, 1986
LINSCO FINANCIAL GROUP, INC.
February 1, 1983 - October 10, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
February 1, 1983 - October 10, 1985
AMERICAN EXPRESS FINANCIAL CORPORATION
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
