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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

Carol A Dinh Nhat Quy

Advisor at CAPITOL SECURITIES MANAGEMENT, INC.

RESTON, VA | Boston, MA

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Search this name across graphsid dfx:ria:19203689-aa6b-59cd-6c4f-2edc1dcb085e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 22, 2006 to Sep 15, 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: CAPITOL SECURITIES MANAGEMENT, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 28, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: May 28, 1991
First registration: Sep 22, 2006
Dual registered: yes, broker-dealer
Other names: CAROL ANN DINH NHAT QUY|CAROL ANN DINH NHAT QUY
IAPD individual key: 2103710

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
CAPITOL SECURITIES MANAGEMENT, INC.	Independent wealth	Jul 22, 2024	n/a	yes	RESTON, VA\|Boston, MA	Current employment
MORGAN STANLEY	Wirehouse	Aug 22, 2017	Jul 29, 2024	no	Washington, DC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Aug 12, 2016	Aug 7, 2017	no	WASHINGTON, DC	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 20, 2009	Aug 23, 2016	no	WASHINGTON, DC	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Feb 12, 2009	no	WASHINGTON, DC	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 22, 2006	Apr 2, 2007	no	WASHINGTON, DC\|WASHINGTON, DC	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
MORGAN STANLEY	CAPITOL SECURITIES MANAGEMENT, INC.	Jul 29, 2024	Jul 22, 2024	-7	Firm change	Wirehouse to RIA
WELLS FARGO ADVISORS	MORGAN STANLEY	Aug 7, 2017	Aug 22, 2017	15	Firm change	Wirehouse to wirehouse
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Aug 23, 2016	Aug 12, 2016	-11	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	UBS FINANCIAL SERVICES INC.	Feb 12, 2009	Feb 20, 2009	8	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:149777:DC:2017-08-07	Aug 7, 2017	Aug 22, 2017	WASHINGTON, DC	Firm change
8174:19616:DC:2016-08-23	Aug 23, 2016	Aug 12, 2016	WASHINGTON, DC	Firm change

Relationships

Registered with (6)

→ CAPITOL SECURITIES MANAGEMENT, INC.Registered adviserregistration: current employment
Jul 22, 2024 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 22, 2017 to Jul 29, 2024factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 12, 2016 to Aug 7, 2017factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 20, 2009 to Aug 23, 2016factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Feb 12, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 22, 2006 to Apr 2, 2007factForm ADV

Dated events

Occurred
Jul 29, 2024
Advisor changed firm
Carol A Dinh Nhat Quy left Morgan Stanley for Capitol Securities Management, Inc. (registered 2024-07-22)
Form ADVobserved 4 days ago