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4050 Innslake Drive Suite 250, Glen Allen, VA 23060 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-12-18 |
Branch Locations
Farmingville, NY • United States
201 Old Country Road Suite 206, Melville, NY 11747 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities, Inc. | San Diego | CA | 07/2008 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 07/2012 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 12/2024 |
| Cetera Advisors Llc | Farmingville | NY | 09/2022 | 12/2024 |
| Capitol Securities Management, Inc | Melville | NY | 12/2024 | Present |
| Thomas Pekar | Farmingville | NY | 12/2024 | Present |
"Name of Business: Tom Pekar - Entertainer Investment-related: No Address: n/a Nature of the other business: freelance entertainer Position, title, or relationship with the other business: Entertainer Start date: 12/21/24 Approx # of hours/month you devote to the other business: 10 Approx # of hours/month you devote to the other business during securities trading hours: 0 Describe your duties relating to the other business: singer, guitarist, event MC"
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-05 |
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