James F. Massengill

CAPITOL SECURITIES MANAGEMENT

Glen Allen, VA 23060

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CRD#: 1488760

Professional summary

James Fulton Massengill, who also goes by Jim Massengill, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Glen Allen, Virginia.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. James has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Massengill

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) - RIA

Click below to view James Fulton Massengill's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Fulton Massengill'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

September 22, 2015 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 4050 Innslake Drive Suite 250, Glen Allen, VA 23060

RIA

CRD#: 14169

Glen Allen, VA

Current

September 23, 2013 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 4050 Innslake Drive Suite 250, Glen Allen, VA 23060

RIA

CRD#: 14169

Glen Allen, VA

Past

August 1, 2007 - September 27, 2013

OSAIC FS, INC.

CRD#: 3870

RICHMOND, VA

Past

May 1, 2003 - July 31, 2007

NATIONAL SECURITIES CORPORATION

CRD#: 7569

GLEN ALLEN, VA

Past

March 9, 2002 - March 17, 2003

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

March 28, 2001 - March 9, 2002

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

September 1, 1997 - September 11, 1997

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

August 29, 1997 - March 28, 2001

BRANCH, CABELL & CO., INC.

CRD#: 6820

RICHMOND, VA

Past

July 25, 1991 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

November 19, 1986 - July 25, 1991

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

July 31, 1986 - October 14, 1986

FORTH FINANCIAL SECURITIES, CORPORATION

CRD#: 14363

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(1/19/2017)

Colorado
(11/7/2024)

Connecticut
(9/23/2013)

Florida
(8/20/2024)

Georgia
(11/7/2024)

Kentucky
(8/20/2024)

Maine
(9/23/2013)

Maryland
(9/27/2013)

New Hampshire
(5/16/2022)

New York
(1/3/2014)

North Carolina
(10/1/2013)

Ohio
(9/23/2013)

Pennsylvania
(2/7/2023)

South Carolina
(10/3/2013)

Tennessee
(12/20/2013)

Texas
(10/8/2013)

Virginia
(9/26/2013)

IAR

Virginia
(9/22/2015)

Washington
(9/26/2013)

West Virginia
(10/2/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/1/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/30/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/15/1999

General Securities Principal 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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James F. Massengill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Fulton Massengill's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Fulton Massengill's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITOL SECURITIES MANAGEMENT, INC.

OSAIC FS, INC.

NATIONAL SECURITIES CORPORATION

RBC CAPITAL MARKETS, LLC

TUCKER ANTHONY INCORPORATED

DB ALEX. BROWN LLC

BRANCH, CABELL & CO., INC.

ALEX. BROWN & SONS INCORPORATED

A. G. EDWARDS & SONS, INC.

FORTH FINANCIAL SECURITIES, CORPORATION

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/1/2015

Series 63

Date: 6/26/1986

SIE

Date: 10/1/2018

Series 7

Date: 11/15/1986

Series 6

Date: 7/30/1986

Series 24

Date: 3/15/1999

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.

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