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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

JOSEPH DANIEL GAY

Advisor at CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RALEIGH, NC | WILMINGTON, NC

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Search this name across graphsid dfx:ria:fece430f-cbe9-5f77-601b-0784cd5b1968

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 9, 2002 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: CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 25, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Sep 25, 1998
First registration: Aug 9, 2002
Dual registered: yes, broker-dealer
Other names: JOSEPH GAY|JR JOSEPH DANIEL GAY
IAPD individual key: 3082980

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
CAPITAL INVESTMENT ADVISORY SERVICES, LLC	Bd affiliated wealth	Jan 29, 2018	n/a	yes	WILMINGTON, NC\|RALEIGH, NC	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 17, 2017	Dec 11, 2017	no	WILMINGTON, NC	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Oct 13, 2014	Mar 20, 2017	no	WILMINGTON, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jun 7, 2013	Sep 24, 2014	no	WILMINGTON, NC\|RALEIGH, NC\|WILMINGTON, NC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 9, 2002	Jun 11, 2013	no	WILMINGTON, NC\|WILMINGTON, NC	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
CETERA INVESTMENT ADVISERS LLC	CAPITAL INVESTMENT ADVISORY SERVICES, LLC	Dec 11, 2017	Jan 29, 2018	49	Firm change	Other
SECURITIES AMERICA ADVISORS, INC.	CETERA INVESTMENT ADVISERS LLC	Mar 20, 2017	Mar 17, 2017	-3	Firm change	Other
WELLS FARGO ADVISORS	SECURITIES AMERICA ADVISORS, INC.	Sep 24, 2014	Oct 13, 2014	19	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Jun 11, 2013	Jun 7, 2013	-4	Firm change	Wirehouse to wirehouse

Team moves

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

Team	Left	Joined	From	Kind
110518:105644:NC:2017-03-20	Mar 20, 2017	Mar 17, 2017	WILMINGTON, NC	Firm change

Relationships

Registered with (5)

→ CAPITAL INVESTMENT ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Jan 29, 2018 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Mar 17, 2017 to Dec 11, 2017factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Oct 13, 2014 to Mar 20, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 7, 2013 to Sep 24, 2014factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 9, 2002 to Jun 11, 2013factForm ADV

Dated events

No dated event names this entity yet.