MB
Mark E. Bechtle
CAPITOL SECURITIES MANAGEMENT
CHARLOTTESVILLE, VA 22902
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CRD#: 1134006
MB
Professional summary
Mark Eugene Bechtle is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Charlottesville, Virginia.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Eugene Bechtle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Eugene Bechtle'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
October 7, 2016 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 414 E. Market Street St.suite F, Charlottesville, VA 22902RIA
BD
CRD#: 14169
CHARLOTTESVILLE, VA
Current
October 7, 2016 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 414 E. Market Street St.suite F, Charlottesville, VA 22902RIA
BD
CRD#: 14169
CHARLOTTESVILLE, VA
Past
July 1, 2003 - October 17, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTESVILLE, VA
Past
July 1, 2003 - October 17, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTESVILLE, VA
Past
January 13, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
CHARLOTTESVILLE, VA
Past
December 9, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
June 22, 1983 - December 23, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Alabama(4/14/2020)
RR
Arizona(10/7/2016)
RR
Maryland(10/7/2016)
RR
Missouri(9/9/2021)
RR
Texas(10/7/2016)
IAR
Texas(10/7/2016)
RR
Virginia(10/7/2016)
IAR
Virginia(10/7/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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#: 14169Charlottesville, VA 22902TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
