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Current Employers
Capitol Securities Management, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2020-06-05
  • MD RA
    APPROVED
    Since 2020-06-05

Branch Locations

31400 Winterplace Parkway Suite 100, Salisbury, MD 21804 • United States

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

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
First National Bank Of Md Baltimore MD 01/1996 09/2016
Allfirst Brokerage Corporation Baltimore MD 01/1996 09/2016
M&T Securities, Inc. Buffalo NY 05/2003 09/2016
Lpl Financial, Llc Salisbury MD 09/2016 06/2020
Capitol Securities Management, Inc Salisbury MD 06/2020 Present
  • 01/1996 → 09/2016
    First National Bank Of Md
    Baltimore, MD
  • 01/1996 → 09/2016
    Allfirst Brokerage Corporation
    Baltimore, MD
  • 05/2003 → 09/2016
    M&T Securities, Inc.
    Buffalo, NY
  • 09/2016 → 06/2020
    Salisbury, MD
  • 06/2020 → Present
    Salisbury, MD
Previous Registrations
  • 2016-09-21 → 2020-06-22
    Salisbury, MD
    Salisbury, MD
    San Diego, CA
  • 2003-09-05 → 2016-09-30
    M&T Securities, Inc.
    Delmar, DE
    Laurel, DE
    Laurel, DE
    Milsboro, DE
    Wilkes-Barre, PA
    Wilmington, DE
    Salisbury, MD
    Annapolis, MD
    Chester, MD
    Berlin, MD
    Denton, MD
    Salisbury, MD
    Salisbury, MD
    Snow Hill, MD
    Salisbury, MD
    Easton, MD
    Millsboro, DE
    Wilmington, DE
    Cambridge, MD
    Wilkes-Barre, PA
    Wilmington, DE
    Buffalo, NY
    Wilmington, DE
    Wilkes-Barre, PA
Other Businesses

1) Name of Business: Outten Financial LLC Investment-related: No Address: 31400 WINTERPLACE PARKWAY SUITE 100 SALISBURY, MD 21804 Nature of the other business: For tax puproses only Position, title, or relationship with the other business: none Start date: ongoing Approx # of hours/month you devote to the other business: 0 Approx #of hours/month you devote to the other business during securities trading hours: 0 Describe your duties relating to the other business: 2)Doing Business As: HAMMOND WEALTH MANAGEMENT, LLC Investment-related: Yes Address: 31400 WINTERPLACE PARKWAY, SALISBURY MD 21804.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-08-22
S63 Uniform Securities Agent State Law Examination 1995-04-05
  • S65 Uniform Investment Adviser Law Examination
    2003-08-22
  • S63 Uniform Securities Agent State Law Examination
    1995-04-05
Designations

View on SEC IAPD

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