James Louis Wallace

Capitol Securities Management, Inc.

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Current Employers

Capitol Securities Management, Inc.

4050 Innslake Drive Suite 250, Glen Allen, VA 23060 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2021-09-22

MA RA
APPROVED

Since 2021-09-22

Branch Locations

111 State Street 3Rd Floor, Boston, MA 02109 • United States

Windham, NH • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Investors Capital Corporation	Lynnfield	MA	01/2000	01/2017
Cetera Advisors Llc	Denver	CO	10/2016	04/2020
Summit Brokerage Services, Inc.	Boca Raton	FL	06/2018	12/2019
First Allied Securities, Inc.	San Diego	CA	04/2020	04/2020
Arthur W. Wood Company, Inc.	Boston	MA	11/2020	06/2021
Self-Employed	Windham	NH	05/2020	11/2020
Capitol Securities Management	Wellesley	MA	04/2021	Present

01/2000 → 01/2017

Investors Capital Corporation

Lynnfield, MA
10/2016 → 04/2020

Cetera Advisors Llc

Denver, CO
06/2018 → 12/2019

Summit Brokerage Services, Inc.

Boca Raton, FL
04/2020 → 04/2020

First Allied Securities, Inc.

San Diego, CA
11/2020 → 06/2021

Arthur W. Wood Company, Inc.

Boston, MA
05/2020 → 11/2020

Self-Employed

Windham, NH
04/2021 → Present

Capitol Securities Management

Wellesley, MA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-03-02
S65	Uniform Investment Adviser Law Examination	1997-03-10
S63	Uniform Securities Agent State Law Examination	1990-12-19

S66 Uniform Combined State Law Examination

2021-03-02
S65 Uniform Investment Adviser Law Examination

1997-03-10
S63 Uniform Securities Agent State Law Examination

1990-12-19

View on SEC IAPD

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