Thomas A. Smith

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CRD#: 1134969

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.

Thomas Avery Smith, who also goes by Tom Smith, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 11 firms and has passed the Series 63, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Smith

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 16, 2006 - June 29, 2006

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

GLEN ALLEN, VA

Past

April 5, 2005 - June 12, 2006

ANDERSON & STRUDWICK, INCORPORATED

CRD#: 48

OWENSBORO, KY

Past

December 3, 2002 - April 6, 2005

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

January 4, 1999 - August 15, 2001

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

August 3, 1998 - January 4, 1999

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

June 1, 1996 - August 15, 2001

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

November 8, 1994 - August 3, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

September 15, 1994 - June 1, 1996

NATIONAL CITY INVESTMENTS CORPORATION

CRD#: 17365

Past

August 29, 1994 - September 13, 1994

FIFTH THIRD SECURITIES, INC.

CRD#: 3155

CINCINNATI, OH

Past

August 12, 1992 - September 1, 1994

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

June 13, 1983 - July 21, 1992

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/10/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/7/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/10/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/13/2002

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 12/15/1987

Investment Company Products/Variable Contracts Principal Examination

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

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.

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Firm Stability Insights

Thomas A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ANDERSON & STRUDWICK, INCORPORATED

FIRST MONTAUK SECURITIES CORP.

NATCITY INSURANCE SERVICES, INC.

IFMG SECURITIES, INC.

NATCITY INVESTMENTS, INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

NATIONAL CITY INVESTMENTS CORPORATION

FIFTH THIRD SECURITIES, INC.

CAPITAL BROKERAGE CORPORATION

PFS INVESTMENTS INC.

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/10/1983

Series 7

Date: 11/7/1994

Series 6

Date: 6/10/1983

Series 24

Date: 2/13/2002

Series 26

Date: 12/15/1987

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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