JA
Jerry G. Alley
CAPITOL SECURITIES MANAGEMENT
Virginia Beach, VA
Some features on this profile are disabled
CRD#: 1571590
JA
Professional summary
Jerry Gayle Alley is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Virginia Beach, Virginia.
Jerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Jerry has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 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.
1) Name of Business: Norfolk Academy - Basketball Coach
Investment-related: No
Address: 1585 WESLEYAN DRIVE, NORFOLK, VA 23502
Nature of the other business: Assistant JV and Varsity Basketball Coach
Position, title, or relationship with the other business: Assistant Coach
Start date: 2/5/16
Approximate # of hours/month you devote to the other business: 20
Approximate # of hours/month you devote to the other business during securities trading hours: 0
Describe your duties relating to the other business:Coach Boys Basketball, Practice and Games
2) Name of Business: Norfolk Academy - Golf Coach
Investment-related: No
Address: 1585 WESLEYAN DRIVE, NORFOLK, VA 23502
Nature of the other business: Junior Varsity Golf Coach at Norfolk Academy - Grades 1-12 independent private school
Position, title, or relationship with the other business: Golf Coach
Start date: 3/1/18
Approximate # of hours/month you devote to the other business: 25
Approximate # of hours/month you devote to the other business during securities trading hours: 6
Describe your duties relating to the other business:Coach JV Golf Team with 1 Assistant. Practice and matches are held after school Mon-Thurs.
CRS (Client Relationship Summary) - RIA
Click below to view Jerry Gayle Alley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jerry Gayle Alley'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
February 5, 2016 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
RIA
BD
CRD#: 14169
Virginia Beach, VA
Current
February 5, 2016 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 4050 Innslake Drive Suite 250, Glen Allen, VA 23060RIA
BD
CRD#: 14169
Glen Allen, VA
Past
July 7, 2015 - February 23, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
NORFOLK, VA
Past
July 7, 2015 - February 23, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NORFOLK, VA
Past
December 9, 2011 - July 7, 2015
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
BIRMINGHAM, AL
Past
December 9, 2011 - July 7, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
NORFOLK, VA
Past
April 4, 2005 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
RIA
CRD#: 48
NORFOLK, VA
Past
January 31, 2000 - April 4, 2005
A&S CAPITAL ADVISORS, INC.
RIA
CRD#: 108827
NORFOLK, VA
Past
March 29, 1999 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
BD
CRD#: 48
NORFOLK, VA
Past
December 23, 1994 - January 28, 1999
DAVENPORT & COMPANY LLC
BD
CRD#: 1588
RICHMOND, VA
Past
October 22, 1986 - January 10, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Florida(10/23/2024)
RR
Georgia(2/6/2025)
RR
New Hampshire(2/5/2016)
RR
Virginia(2/5/2016)
IAR
Virginia(2/5/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
