SM
Steven F. Marascia
CAPITOL SECURITIES MANAGEMENT
Glen Allen, VA 23060
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CRD#: 1010674
SM
Professional summary
Steven Francis Marascia is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Glen Allen, Virginia.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Steven has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Trust account: Frank J. Marascia Marital Trust
Trustee on family account.
Relationship of grantor: Son
CRS (Client Relationship Summary) - RIA
Click below to view Steven Francis Marascia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Francis Marascia's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 29, 2009 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 4050 Innslake Drive Suite 250, Glen Allen, VA 23060RIA
BD
CRD#: 14169
Glen Allen, VA
Current
May 8, 2009 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 4050 Innslake Drive Suite 250, Glen Allen, VA 23060RIA
BD
CRD#: 14169
Glen Allen, VA
Past
April 4, 2005 - May 29, 2009
ANDERSON & STRUDWICK, INCORPORATED
RIA
CRD#: 48
RICHMOND, VA
Past
March 11, 2002 - April 4, 2005
A&S CAPITAL ADVISORS, INC.
RIA
CRD#: 108827
RICHMOND, VA
Past
February 5, 2002 - May 29, 2009
ANDERSON & STRUDWICK, INCORPORATED
BD
CRD#: 48
RICHMOND, VA
Past
March 28, 2001 - February 19, 2002
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
February 20, 1990 - March 28, 2001
BRANCH, CABELL & CO., INC.
BD
CRD#: 6820
RICHMOND, VA
Past
August 25, 1989 - March 1, 1990
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 9, 1985 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
Past
July 1, 1983 - December 17, 1984
ANDERSON & STRUDWICK, INCORPORATED
BD
CRD#: 48
Past
May 3, 1982 - April 15, 1983
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
RIA
Registered Investment Advisory firm - SEC (3/16/1992 Approved)California
Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/17/2017)
RR
California(10/8/2014)
RR
Colorado(10/4/2021)
RR
Delaware(3/24/2022)
RR
Florida(5/8/2009)
RR
Georgia(5/8/2009)
RR
Illinois(12/7/2010)
RR
Indiana(5/8/2009)
RR
Louisiana(6/3/2019)
RR
Maryland(5/8/2009)
RR
Michigan(5/8/2009)
RR
New Jersey(5/8/2009)
RR
North Carolina(5/8/2009)
RR
Oregon(11/3/2011)
RR
Pennsylvania(5/8/2009)
RR
South Carolina(12/15/2016)
RR
South Dakota(1/26/2023)
RR
Texas(7/5/2022)
RR
Virginia(5/8/2009)
IAR
Virginia(5/29/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
RIA
Registered Investment Advisory firm - SEC (3/16/1992 Approved)California
Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060
Mailing Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060
Phone number
(804) 612-9700
Established
Virginia since 03/22/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
170
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169Glen Allen, VA 23060TRUST BUT VERIFY
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