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Current Employers
Capitol Securities Management, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2015-01-05
FL RA APPROVED 2010-06-08
  • WI RA
    APPROVED
    Since 2015-01-05
  • FL RA
    APPROVED
    Since 2010-06-08

Branch Locations

601 South Harbour Island Blvd Suite 109, Tampa, FL 33602 • United States

Palm Beach Gardens, FL • 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
Capitol Securities Management, Inc. Mclean VA 01/1992 Present
#Ia Capitol Securities Management, Inc. Vienna VA 05/1992 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-18
S63 Uniform Securities Agent State Law Examination 1985-01-23
  • S65 Uniform Investment Adviser Law Examination
    1992-06-18
  • S63 Uniform Securities Agent State Law Examination
    1985-01-23

View on SEC IAPD

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