Carol Quy is a registered investment advisor at Capitol Securities Management, INC., based in Reston, VA, with 34 years of industry experience. Carol operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 3,745 clients with $1.8B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CSM charges a percentage of your portfolio each year for investment advisory advice. The maximum advisory fee is 2.0% per year. The fee is paid in advance, on a quarterly or monthly basis. The amount you pay will reduce any money you make on your investments. CSM also offers wrap fee programs where the fee includes investment advisory services and brokerage execution costs. The maximum wrap fee is 2.0% per year.
Location
12100 Sunset Hills Road, Suite 100, Reston, VA, 20190
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Learn about disclosures →Employment History
Current Registrations
Capitol Securities Management, INC.Broker
Capitol Securities Management, INC.
Previous Registrations
Morgan StanleyBroker
Morgan Stanley
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Painewebber IncorporatedBroker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.