Sharon M. Whitehurst
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.
Sharon Mcdaniel Whitehurst, who also goes by Sharon Mcdaniel Graham, Sharon Graham, Sherry Graham, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1984. Sharon had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2009 - January 8, 2019
CAPITOL SECURITIES MANAGEMENT, INC.
January 17, 2003 - June 26, 2009
AEGIS CAPITAL CORP.
March 26, 2002 - February 26, 2003
VOSS & CO., INC.
November 9, 1984 - March 8, 2001
VOSS & CO., INC.
June 11, 1984 - October 17, 1984
THE STUART-JAMES COMPANY, INCORPORATED
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.
