Jerome A. Baron

CAPITOL SECURITIES MANAGEMENT

New York, NY 10105

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CRD#: 13157

Professional summary

Jerome Albert Baron is a registered financial professional currently at CAPITOL SECURITIES MANAGEMENT, INC. located in New York, New York.

Jerome is registered as a RR (Registered Representative) and started their career in finance in 1971. Jerome has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.

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 Jerome Albert Baron'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

November 29, 2012 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 1345 Avenue Of The Americas 2nd Floor, New York, NY 10105

RIA

CRD#: 14169

New York, NY

Past

November 26, 2012 - December 31, 2023

CAPITOL SECURITIES MANAGEMENT, INC.

RIA

CRD#: 14169

MELVILLE, NY

Past

July 24, 2003 - March 9, 2012

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

NEW YORK, NY

Past

May 4, 1982 - June 21, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

November 7, 1979 - December 28, 1982

BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS

CRD#: 7303

Past

November 10, 1972 - November 6, 1979

SECURITY INVESTMENT SERVICES CORP.

CRD#: 760

Past

February 18, 1972 - March 9, 2012

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

NEW YORK, NY

Past

July 19, 1971 - November 30, 1972

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

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

Florida
(12/21/2012)

New Jersey
(1/10/2013)

New York
(11/29/2012)

Pennsylvania
(12/5/2012)

Rhode Island
(11/18/2013)

Utah
(7/21/2022)

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: 12/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/7/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 7/14/1971

Registered Representative 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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Jerome A. Baron

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jerome Albert Baron's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITOL SECURITIES MANAGEMENT, INC.

HORNOR, TOWNSEND & KENT, LLC

INTEGRATED RESOURCES EQUITY CORPORATION

BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS

SECURITY INVESTMENT SERVICES CORP.

HORNOR, TOWNSEND & KENT, LLC

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/1999

Series 63

Date: 3/7/1985

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 7/14/1971

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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