RO
Robert J. Oftring
CAPITOL SECURITIES MANAGEMENT
Worcester, MA 01608
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CRD#: 1058581
RO
Professional summary
Robert Joseph Oftring is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Worcester, Massachusetts.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Robert has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 24, Series 53 and Series 27 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) Name of Business: 184 MAIN STREET ASSOC. LLC
Investment-related: YES
Address: 184 MAIN STREET, WORCESTER, MA 01608
Nature of the other business: REAL ESTATE DEVELOPMENT
Position, title, or relationship with the other business: PARTNER
Start date: 8/15/2008
Approx # of hours/month you devote to the other business: 8-10
Approx # of hours/month you devote to the other business during securities trading hours: 4
Describe your duties relating to the other business: Purchase, Develop, Manage Real Estate - 2 buildings
2) OFTRING INVESTMENT GROUP. DBA.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Joseph Oftring's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Joseph Oftring'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
June 2, 2009 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 184 Main Street, Worcester, MA 01608RIA
BD
CRD#: 14169
Worcester, MA
Current
May 22, 2009 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 184 Main Street, Worcester, MA 01608RIA
BD
CRD#: 14169
Worcester, MA
Past
June 25, 2004 - May 29, 2009
JESUP & LAMONT SECURITIES CORP
RIA
CRD#: 39056
WORCESTER, MA
Past
January 9, 2004 - May 29, 2009
JESUP & LAMONT SECURITIES CORP
BD
CRD#: 39056
WORCESTER, MA
Past
August 26, 1982 - September 1, 2005
ANTAEUS CAPITAL, INC.
BD
CRD#: 627
LOS ANGELES, CA
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
California(9/12/2016)
RR
Connecticut(5/22/2009)
RR
District of Columbia(4/24/2025)
RR
Florida(6/23/2009)
RR
Massachusetts(6/1/2009)
IAR
Massachusetts(6/2/2009)
RR
New Hampshire(5/22/2009)
RR
New York(6/29/2009)
RR
Rhode Island(5/22/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 14169Worcester, MA 01608TRUST BUT VERIFY
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