William N. Muncy
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.
William Nelson Muncy, who also goes by Bill Muncy, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 3, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2013 - December 31, 2021
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
January 31, 2006 - December 31, 2012
CIC ADVISERS, LLC
November 16, 2005 - December 31, 2021
CAPITAL INVESTMENT GROUP, INC.
August 1, 2004 - August 23, 2005
MORGAN STANLEY DW INC.
May 18, 1999 - August 23, 2005
MORGAN STANLEY DW INC.
January 1, 1998 - December 11, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 24, 1994 - January 1, 1998
NATIONSSECURITIES
January 8, 1993 - April 11, 1994
VSR FINANCIAL SERVICES, INC.
September 26, 1978 - February 6, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 1968 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124 / SEC#: 801-69846
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 1/12/1968
Registered Representative ExaminationCurrent Firm
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124 / SEC#: 801-69846
Contact information
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.
