Carol A. Dinh Nhat Quy

CAPITOL SECURITIES MANAGEMENT

Reston, VA 20190

Some features on this profile are disabled

CRD#: 2103710

Professional summary

Carol A Dinh Nhat Quy, who also goes by Carol Ann Dinh Nhat Quy, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Reston, Virginia.

Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Carol has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carol Ann Dinh Nhat Quy

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol A Dinh Nhat Quy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Carol A Dinh Nhat Quy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 22, 2024 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 12100 Sunset Hills Road Suite 100, Reston, VA 20190

RIA

CRD#: 14169

Reston, VA

Current

July 22, 2024 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 12100 Sunset Hills Road Suite 100, Reston, VA 20190

RIA

CRD#: 14169

Reston, VA

Past

August 22, 2017 - July 29, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Washington, DC

Past

August 22, 2017 - July 29, 2024

MORGAN STANLEY

CRD#: 149777

Washington, DC

Past

August 12, 2016 - August 7, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WASHINGTON, DC

Past

August 12, 2016 - August 7, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WASHINGTON, DC

Past

February 20, 2009 - August 23, 2016

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WASHINGTON, DC

Past

February 11, 2009 - August 23, 2016

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WASHINGTON, DC

Past

April 2, 2007 - February 12, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

WASHINGTON, DC

Past

April 2, 2007 - February 12, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

WASHINGTON, DC

Past

September 22, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WASHINGTON, DC

Past

November 9, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

WASHINGTON, DC

Past

April 23, 1992 - November 11, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 24, 1991 - April 24, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITOL SECURITIES MANAGEMENT, INC.

CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.

CRD#: 14169 / SEC#: 801-41033, 8-30353

RIA

Registered Investment Advisory firm - SEC (3/16/1992 Approved)

California

Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

District of Columbia
(7/22/2024)

Maryland
(7/22/2024)

Virginia
(7/22/2024)

IAR

Virginia
(7/22/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/7/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/28/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/27/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 5/12/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/22/1991

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITOL SECURITIES MANAGEMENT, INC.

CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.

CRD#: 14169 / SEC#: 801-41033, 8-30353

RIA

Registered Investment Advisory firm - SEC (3/16/1992 Approved)

California

Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4050 Innslake Drive Suite 250, Glen Allen, VA 23060

Mailing Address

4050 Innslake Drive Suite 250, Glen Allen, VA 23060

Phone number

(804) 612-9700

Established

Virginia since 03/22/1981

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

170

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CSM_ADV PART 2A_3.31.2025 (5/30/2025)

CSM ADV PART2A_APPENDIX 1 (WRAP PROGRAM BROCHURE)_3.31.2025 (5/30/2025)

Direct owners and executive officers

Name	Position	CRD#
CS FINANCIAL GROUP INC.	HOLDING COMPANY
HALLBERG, KATHERINE ROSE	CHIEF COMPLIANCE OFFICER	5016264
JIANOS, JOSEPH ARISTOTLE	CHAIRMAN & CEO	1374020
WALLACE, JAMES LOUIS	CHIEF OPERATING OFFICER	2099074
WETHERELL, EDWARD LEE	CHIEF STRATEGY OFFICER	2159349
ZUBOV, IRINA	DIRECTOR OF FINANCE	5166218

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Raylonte Roach

EAGLE STRATEGIES LLC

IAR

BETHESDA, MD

Matthew Halverson

MORGAN STANLEY

IAR

Washington, DC

Erin Caines

EAGLE STRATEGIES LLC

IAR

DERWOOD, MD

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carol A. Dinh Nhat Quy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol A Dinh Nhat Quy's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Carol A Dinh Nhat Quy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITOL SECURITIES MANAGEMENT, INC.

MORGAN STANLEY

MORGAN STANLEY

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/7/2007

Series 63

Date: 5/28/1991

SIE

Date: 10/1/2018

Series 3

Date: 1/27/2014

Series 31

Date: 5/12/2008

Series 7

Date: 4/22/1991

FINRA

Current Firm

CAPITOL SECURITIES MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CAPITOL SECURITIES MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors