Richard E. Landi
Professional summary
Richard Edward Landi is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Glen Allen, Virginia.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 9 firms and has passed the Series 66, Series 63, Series 62, Series 57TO, Series 99TO, Series 52TO, SIE, Series 55, Series 7, Series 6, Series 53, Series 4, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Edward Landi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Edward Landi's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2019 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 4050 Innslake Drive Suite 250, Glen Allen, VA 23060August 1, 2019 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 4050 Innslake Drive Suite 250, Glen Allen, VA 23060June 10, 2013 - August 1, 2019
CABOT LODGE SECURITIES LLC
October 29, 2010 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
November 14, 2006 - March 15, 2011
ADVENT SECURITIES, INC.
March 17, 2006 - July 9, 2013
ALLIED BEACON PARTNERS, INC.
April 30, 2003 - December 23, 2009
COMMUNITY BANKERS SECURITIES, LLC
June 18, 1997 - February 22, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
October 27, 1988 - July 7, 1997
COMPULIFE INVESTOR SERVICES, INC.
March 4, 1985 - November 8, 1988
FORESTERS FINANCIAL SERVICES, INC.
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
(10/14/2021)
(8/9/2019)
(12/4/2019)
Exams
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 4/12/2005
Limited Representative-Equity Trader ExamFINRA
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.
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Company Information
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169Glen Allen, VA 23060TRUST BUT VERIFY
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