SG
Scott A. Gerham
CAPITOL SECURITIES MANAGEMENT
Massapequa, NY
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CRD#: 1379361
SG
Professional summary
Scott Andrew Gerham is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Massapequa, New York.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Scott has worked at 6 firms and has passed the Series 66, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Name of Business: WATERVIEW BUSINESS PARTNERS
Investment-related: Yes
Address: 201 OLD COUNTRY ROAD SUITE 204 MELVILLE, NY 11747.
Nature of the other business: INSURANCE SALES AND MARKETING
Position, title, or relationship with the other business: Broker
Start date: 10/1/2010
Approximate number of hours/month you devote to the other business: 1
Approx number of hours/month you devote to the other business during securities trading hours: 1
Describe your duties relating to the other business: SELL NON-SECURITY RELATED INSURANCE PRODUCTS TO POTENTIAL CUSTOMERS
CRS (Client Relationship Summary) - RIA
Click below to view Scott Andrew Gerham's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Andrew Gerham's 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®
NoneExperience
Current
October 26, 2018 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #2: 201 Old Country Road Suite 206, Melville, NY 11747RIA
BD
CRD#: 14169
Massapequa, NY
Current
October 24, 2012 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 201 Old Country Road Suite 206, Melville, NY 11747RIA
BD
CRD#: 14169
Melville, NY
Past
October 6, 2010 - December 18, 2012
CAPITOL SECURITIES & ASSOCIATES, INC.
BD
CRD#: 7278
MELVILLE, NY
Past
August 19, 2002 - October 6, 2010
WESTROCK ADVISORS, INC.
BD
CRD#: 114338
MELVILLE, NY
Past
February 14, 1994 - September 6, 2002
WEATHERLY SECURITIES CORPORATION
BD
CRD#: 11081
NEW YORK, NY
Past
January 21, 1987 - March 15, 1994
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
November 19, 1985 - February 2, 1987
ROONEY, PACE INC.
BD
CRD#: 6218
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".
CS
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)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(11/26/2012)
RR
Florida(11/26/2012)
RR
New Jersey(7/7/2014)
RR
New York(11/20/2012)
IAR
New York(10/22/2021)
RR
Pennsylvania(7/9/2014)
RR
South Carolina(6/15/2021)
RR
Virginia(11/26/2012)
RR
Wisconsin(11/23/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
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)BD
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)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
