Richard J. Brandon
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.
Richard Jay Brandon, who also goes by Rick Brandon, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2015 - September 30, 2016
CAPITOL SECURITIES MANAGEMENT, INC.
August 12, 2015 - September 30, 2016
CAPITOL SECURITIES MANAGEMENT, INC.
September 24, 2012 - September 1, 2015
WELLS FARGO CLEARING SERVICES, LLC
September 12, 2012 - September 1, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 24, 2011 - July 28, 2011
WELLS FARGO CLEARING SERVICES, LLC
May 20, 2011 - July 28, 2011
WELLS FARGO CLEARING SERVICES, LLC
March 18, 2009 - May 29, 2009
G-2 TRADING,LLC
June 27, 2006 - August 13, 2008
W. H. REAVES & CO., INC.
April 25, 2000 - October 30, 2000
DIRECT BROKERAGE, INC.
February 12, 1997 - April 20, 2000
MIDWOOD SECURITIES, INC.
November 15, 1996 - February 11, 1997
DIRECT BROKERAGE, INC.
October 20, 1994 - July 31, 1995
MIDWOOD SECURITIES, INC.
June 8, 1989 - August 10, 1989
TICONDEROGA SECURITIES LLC
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
Series 55
Date: 8/11/2006
Limited Representative-Equity Trader ExamCurrent 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.
