Anne T. Briggs
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Anne Tilling Briggs, who also goes by Anne Tilling, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1983. Anne had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2006 - April 1, 2020
CAPITOL SECURITIES MANAGEMENT, INC.
June 17, 2005 - November 29, 2006
THE CONCORD EQUITY GROUP, LLC
December 4, 2000 - July 6, 2005
KIRLIN SECURITIES INC.
August 23, 2000 - March 22, 2001
ESSEX NATIONAL SECURITIES, LLC
October 5, 1998 - August 22, 2000
KIRLIN SECURITIES INC.
October 24, 1997 - October 5, 1998
H.J. MEYERS & CO., INC.
January 8, 1997 - March 24, 1997
INDEPENDENT FINANCIAL SECURITIES, INC.
March 29, 1988 - February 13, 1997
IFMG SECURITIES, INC.
October 9, 1986 - January 4, 1988
STARBOARD CAPITAL CORPORATION
May 27, 1986 - August 5, 1986
DELAWARE DISTRIBUTORS, L.P.
September 20, 1983 - June 16, 1986
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
