HS
Holly Smith
CAPITOL SECURITIES MANAGEMENT
MILFORD, DE
Some features on this profile are disabled
CRD#: 1429151
HS
Professional summary
Holly Smith is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Milford, Delaware.
Holly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Holly has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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: Ruby Star Airpark Property Owner's Association
Investment-related: No
Address: 516 E. Fort Lowell Rd, Tucson, AZ 85705
Nature of the other business: Director and Officer of my 2nd Property HOA
Position, title, or relationship with the other business: Treasurer
Start date: 1/1/21
Approx # of hours/month you devote to the other business: 5
Approx # of hours/month you devote to the other business during securities trading hours: 0
Describe your duties relating to the other business: Monthly 2 hr meetings, work with outside property manager to prepare finance reports. Head a subcommittee - financial committee
"
CRS (Client Relationship Summary) - RIA
Click below to view Holly Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Holly Smith'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
November 13, 2008 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
RIA
BD
CRD#: 14169
MILFORD, DE
Current
August 11, 2008 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 4050 Innslake Drive Suite 250, Glen Allen, VA 23060RIA
BD
CRD#: 14169
Glen Allen, VA
Past
October 5, 2004 - April 27, 2007
THE CONCORD EQUITY GROUP, LLC
RIA
CRD#: 14569
MILFORD, DE
Past
June 25, 2004 - August 12, 2008
THE CONCORD EQUITY GROUP, LLC
BD
CRD#: 14569
MILFORD, DE
Past
August 1, 2003 - June 25, 2004
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
ST. LOUIS, MO
Past
August 1, 2003 - June 25, 2004
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
January 1, 2001 - December 31, 2008
FEDERAL STREET FINANCIAL SERVICES
RIA
CRD#: 145413
MILFORD, DE
Past
April 22, 1999 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
MILTON, DE
Past
April 17, 1999 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
September 12, 1997 - March 29, 1999
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
October 1, 1990 - September 19, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
November 20, 1985 - October 18, 1990
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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
Arizona(4/12/2017)
RR
Delaware(8/11/2008)
IAR
Delaware(11/13/2008)
RR
Pennsylvania(8/11/2008)
RR
Texas(3/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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.
