SD
S D. Davis
CAPITAL INVESTMENT ADVISORY SERVICES
DAVIDSON, NC 28036
Some features on this profile are disabled
CRD#: 2275240
SD
Professional summary
S Diane Davis, CLU®, who also goes by Diane Davis, S Diane Davis, S. Diane Davis, Shirley Diane Davis, Diane Davis Wager, Shirley Wager, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORY SERVICES, LLC located in Davidson, North Carolina and CAPITAL INVESTMENT GROUP, INC. located in Davidson, North Carolina.
S is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. S has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diane Davis | S Diane Davis | S. Diane Davis | Shirley Diane Davis | Diane Davis Wager | Shirley Wager
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.
1. (dba) DAVIS & DAVIS FINANCIAL PARTNERS; Investment Related; 705 Northeast Drive, Suite 16, Davidson NC 28036; Financial Services; Partner/Manager; Start Date 06/2018; 200 hours per month with 130 of those hours occurring during trading hours; Provide financial services, meet with clients, prepare and implement financial plans. 2. DAVIS FINANCIAL GROUP, LLC.; Investment Related; 705 Northeast Drive, Suite 16, Davidson NC 28036; Real Estate; Partner/Manager; Start Date 05/2000; 1 hour per month; No hours per month during trading hours; Holding company for our office condo. 3. S. DIANE DAVIS ENTERPRISES, INC.; Non-Investment Related; 705 Northeast Drive, Suite 16, Davidson NC 28036; Holding Company; President; Start Date 06/2012; 4 hours per month with no hours during trading hours; Sub-Corp set up as recommended by my CPA for me to pay my business expenses through. 4. ROTARY CLUB OF STATESVILLE FOURTH CREET; Non-Investment Related; 300 Center Street, Statesville NC 28677; Civic Organization; Treasurer for Fundraiser; Start Date 07/2012; 1 hour per month with no hours during trading hours; Rotary Club hosts an annual fundraiser in September of each year. I am the treasurer of this event. I collect and deposit funds received for sponsorship and pay any invoices received. There is a checks and balance system, as there is an accountant that reviews everything and completes the 990 Form. 5. REAL ESTATE; 128 SOUTHVIEW DR, STATESVILLE NC 28677; NON-INVESTMENT RELATED; OWN RENTAL HOUSE; COLLECT RENT SINCE 2015. 0 HRS DURING NORMAL TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view S Diane Davis's 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®
Experience
Current
December 17, 2024 - Present
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Office #1: 705 Northeast Drive Suite 16, Davidson, NC 28036RIA
CRD#: 149124
DAVIDSON, NC
Current
December 17, 2024 - Present
CAPITAL INVESTMENT GROUP, INC.
Office #1: 705 Northeast Drive Suite 16, Davidson, NC 28036BD
CRD#: 14752
Davidson, NC
Past
September 13, 2017 - December 19, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Davidson, NC
Past
August 31, 2017 - December 19, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Davidson, NC
Past
September 20, 2010 - September 13, 2017
OSAIC FS, INC.
RIA
CRD#: 3870
DAVIDSON, NC
Past
September 3, 2010 - September 13, 2017
OSAIC FS, INC.
BD
CRD#: 3870
DAVIDSON, NC
Past
December 31, 2001 - September 20, 2010
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
DAVIDSON, NC
Past
June 25, 1999 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
DAVIDSON, NC
Past
June 25, 1999 - September 20, 2010
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
DAVIDSON, NC
Past
April 2, 1998 - June 9, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
April 2, 1998 - June 9, 1999
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
August 6, 1996 - April 1, 1998
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
September 25, 1992 - August 5, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
September 25, 1992 - August 5, 1996
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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".
CI
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CAPITAL INVESTMENT ADVISORY SERVICES, LLC | WHETRO ADVISORS | TRUST COMPANY OF NORTH CAROLINA | THE WEALTH GROUP | THE PORTFOLIO MANAGEMENT GROUP | SENTINEL CAPITAL SOLUTIONS | RISING TIDE INC. | PIEDMONT PRIVATE WEALTH | MUMY FINANCIAL ADVISORS, LLC | MASONBORO ADVISORS | INTEGRATED ADVISORY SERVICES, LLC | CIC ADVISERS, LLC
CRD#: 149124 / SEC#: 801-69846
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)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.RR
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
RR
Arizona(12/17/2024)
RR
Arkansas(12/17/2024)
RR
California(12/17/2024)
RR
Florida(12/17/2024)
RR
Georgia(12/17/2024)
RR
Illinois(12/17/2024)
RR
Kentucky(12/17/2024)
RR
Maryland(12/17/2024)
RR
Michigan(12/17/2024)
RR
Minnesota(11/13/2025)
IAR
North Carolina(12/17/2024)
RR
North Carolina(12/19/2024)
RR
South Carolina(12/17/2024)
RR
Texas(2/24/2025)
RR
Virginia(12/17/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CAPITAL INVESTMENT ADVISORY SERVICES, LLC | WHETRO ADVISORS | TRUST COMPANY OF NORTH CAROLINA | THE WEALTH GROUP | THE PORTFOLIO MANAGEMENT GROUP | SENTINEL CAPITAL SOLUTIONS | RISING TIDE INC. | PIEDMONT PRIVATE WEALTH | MUMY FINANCIAL ADVISORS, LLC | MASONBORO ADVISORS | INTEGRATED ADVISORY SERVICES, LLC | CIC ADVISERS, LLC
CRD#: 149124 / SEC#: 801-69846
RIA
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Contact information
Main Address
100 E. Six Forks Road Suite 200, Raleigh, NC 27609
Mailing Address
P.o. Box 32249, Raleigh, NC 27622
Phone number
(919) 831-2370
Established
Firm type
Fiscal year end
# of Employees
106
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,619 |
| AUM (Assets Under Management) | $ 1,930,938,262 |
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.
