Brett S. Briggs

CAPITOL SECURITIES MANAGEMENT

Rochester, NY 14607

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CRD#: 1226255

Professional summary

Brett Stephen Briggs was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brett is registered as a RR (Registered Representative) and started their career in finance in 1984. Prior to being barred, Brett has worked at 11 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., FINANCIAL WEST GROUP, THE SHEMANO GROUP INC., FIRST ALLIED SECURITIES INC., INTERFIRST CAPITAL CORPORATION, H.J. MEYERS & CO. INC., EMANUEL AND COMPANY, BARING & BROWN INC., ROYCE PARK INVESTMENTS INC., APPLE FINANCIAL CORPORATION.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brett Stephen Briggs'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

March 4, 2024 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 706 East Ave., Rochester, NY 14607

RIA

CRD#: 14169

Rochester, NY

Past

August 21, 2017 - March 1, 2024

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Los Angeles, CA

Past

January 14, 2008 - August 21, 2017

FINANCIAL WEST GROUP

CRD#: 16668

LOS ANGELES, CA

Past

November 22, 2002 - January 16, 2008

THE SHEMANO GROUP, INC.

CRD#: 35528

LOS ANGELES, CA

Past

October 15, 2002 - October 16, 2002

THE SHEMANO GROUP, INC.

CRD#: 35528

SAN FRANCISCO, CA

Past

February 11, 2002 - December 5, 2002

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

November 30, 1998 - February 11, 2002

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

Past

July 8, 1993 - October 5, 1998

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

February 3, 1992 - June 28, 1993

EMANUEL AND COMPANY

CRD#: 7309

NEW YORK, NY

Past

September 13, 1990 - May 11, 1992

BARING & BROWN, INC.

CRD#: 24929

Past

January 28, 1988 - October 24, 1990

ROYCE PARK INVESTMENTS, INC.

CRD#: 16539

Past

January 16, 1985 - February 27, 1988

H.J. MEYERS & CO., INC.

CRD#: 15609

Past

March 22, 1984 - January 18, 1985

APPLE FINANCIAL CORPORATION

CRD#: 10375

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

California
(3/8/2024)

New York
(4/12/2024)

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

IAR

Series 65

Date: 1/16/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 11/5/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 1/30/1986

General Securities Principal Examination

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

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

Brett S. Briggs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brett Stephen Briggs's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN INTERNATIONAL SECURITIES, INC.

FINANCIAL WEST GROUP

THE SHEMANO GROUP, INC.

THE SHEMANO GROUP, INC.

FIRST ALLIED SECURITIES, INC.

INTERFIRST CAPITAL CORPORATION

H.J. MEYERS & CO., INC.

EMANUEL AND COMPANY

BARING & BROWN, INC.

ROYCE PARK INVESTMENTS, INC.

H.J. MEYERS & CO., INC.

APPLE FINANCIAL CORPORATION

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/16/1996

Series 63

Date: 3/27/1984

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1984

Series 8

Date: 11/5/1996

Series 24

Date: 1/30/1986

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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