DS
David T. Sheridan
CAPITOL SECURITIES MANAGEMENT
Marmora, NJ 08223
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CRD#: 1080032
DS
Professional summary
David Thomas Sheridan is a registered financial professional currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Marmora, New Jersey.
David is registered as a RR (Registered Representative) and started their career in finance in 1983. David has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David Thomas Sheridan'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
July 18, 2022 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 25 Roosevelt Blvd, Marmora, NJ 08223RIA
BD
CRD#: 14169
Marmora, NJ
Past
September 21, 2007 - July 20, 2022
BOENNING & SCATTERGOOD, INC.
BD
CRD#: 100
Linwood, NJ
Past
July 27, 2005 - September 27, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
NORTHFIELD, NJ
Past
April 25, 1988 - September 27, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
NORTHFIELD, NJ
Past
July 28, 1983 - April 28, 1988
PHILIPS, APPEL & WALDEN, INC.
BD
CRD#: 659
Past
January 19, 1983 - August 23, 1983
PATTEN SECURITIES CORP.
BD
CRD#: 8210
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.
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
Alabama(7/21/2022)
RR
California(7/18/2022)
RR
Colorado(11/4/2024)
RR
Connecticut(7/18/2022)
RR
Delaware(7/18/2022)
RR
District of Columbia(7/6/2023)
RR
Florida(7/18/2022)
RR
Idaho(7/6/2023)
RR
New Jersey(7/18/2022)
RR
Oregon(7/18/2022)
RR
Pennsylvania(7/18/2022)
RR
Virginia(7/18/2022)
RR
Washington(7/18/2022)
RR
West Virginia(7/6/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 14169Marmora, NJ 08223TRUST BUT VERIFY
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