S Diane Davis

Current Employers

Employment History

• 09/2010 → 08/2017
  Lincoln Financial Securities
  Davidson, NC
• 08/2017 → 12/2024
  Concourse Financial Group Securities Inc
  Davidson, NC
• 09/2010 → 06/2018
  (Dba) Wealthplan Financial Partners
  Davidson, NC
• 06/2018 → Present
  (Dba) Davis & Davis Financial Partners
  Davidson, NC
• 12/2024 → Present
  Capital Investment Group, Inc
  Raleigh, NC
• 12/2024 → Present
  Capital Investment Advisory Services, Llc
  Raleigh, NC

Previous Registrations

• 2017-09-13 → 2024-12-19
  Concourse Financial Group Securities, Inc.
  Davidson, NC
  Raleigh, NC
  Davidson, NC
• 2010-09-20 → 2017-09-13
  Osaic Fs, Inc.
  Davidson, NC
• 2001-12-31 → 2010-09-20
  Msi Financial Services, Inc.
  Davidson, NC
  Davidson, NC

Other Businesses

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.

Exams

• S66 Uniform Combined State Law Examination
  2000-07-07
• S65 Uniform Investment Adviser Law Examination
  1999-10-18
• S63 Uniform Securities Agent State Law Examination
  1992-10-08

Other Names

• S Diane Davis
• Diane Davis Wager
• Shirley Wager
• Shirley Diane Davis
• Shirley Diane Davis
• Diane Davis
• S. Diane Davis