Sarah C. King

CAPITOL SECURITIES MANAGEMENT

Tampa, FL 33602

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CRD#: 1106483

Professional summary

Sarah Catherine King, who also goes by Cathy Griffith, Sarah Catherine Griffith, Cathy King, is a registered financial professional currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Tampa, Florida.

Sarah is registered as a RR (Registered Representative) and started their career in finance in 1999. Sarah has worked at 3 firms and has passed the Series 63, Series 62, SIE, Series 7 and Series 11 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cathy Griffith | Sarah Catherine Griffith | Cathy King

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sarah Catherine King's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 5, 2010 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 601 South Harbour Island Blvd Suite 109, Tampa, FL 33602

RIA

CRD#: 14169

Tampa, FL

Past

June 19, 2002 - March 31, 2010

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

November 16, 1999 - June 10, 2002

FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED

CRD#: 14538

TAMPA, FL

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".

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)

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.

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

Florida
(5/5/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/21/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 62

Date: 1/2/2023

Corporate Securities Limited Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/10/1999

General Securities Representative Examination

General Industry/Product Exam

Series 11

Date: 8/12/1996

Assistant Representative-Order Processing Qualification Exam

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CSM_ADV PART 2A_3.31.2025 (5/30/2025)

CSM ADV PART2A_APPENDIX 1 (WRAP PROGRAM BROCHURE)_3.31.2025 (5/30/2025)

Direct owners and executive officers

Name	Position	CRD#
CS FINANCIAL GROUP INC.	HOLDING COMPANY
HALLBERG, KATHERINE ROSE	CHIEF COMPLIANCE OFFICER	5016264
JIANOS, JOSEPH ARISTOTLE	CHAIRMAN & CEO	1374020
WALLACE, JAMES LOUIS	CHIEF OPERATING OFFICER	2099074
WETHERELL, EDWARD LEE	CHIEF STRATEGY OFFICER	2159349
ZUBOV, IRINA	DIRECTOR OF FINANCE	5166218

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.

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Sarah C. King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sarah Catherine King's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUNNALLEN FINANCIAL, INC

FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/21/1999

Series 62

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/10/1999

Series 11

Date: 8/12/1996

FINRA

Current Firm

CAPITOL SECURITIES MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CAPITOL SECURITIES MANAGEMENT, INC.

TRUST BUT VERIFY

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