HW
Herbert T. Wolf
CAPITOL SECURITIES MANAGEMENT
Glen Allen, VA 23060
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CRD#: 1721082
HW
Professional summary
Herbert Thomas Wolf III, who also goes by Herb Wolf, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Glen Allen, Virginia.
Herbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Herbert has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Herb Wolf
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: Wolf Realty Associates Investment-related: Yes Address: 129 West Patrick St. Suite 6 Frederick, MD 21701 Nature of OBA: Buisness, Holds and sells commercial real estate Position, title, or relationship with OBA: General partner Start date: 1.10.23 Approx # of hours/month you devote to OBA: 20 Approx # of hours/month you devote to OBA during trading hours: 9 Duties: Property manager, buy and sell real estate "
CRS (Client Relationship Summary) - RIA
Click below to view Herbert Thomas Wolf III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Herbert Thomas Wolf III'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 19, 2022 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 4050 Innslake Drive Suite 250, Glen Allen, VA 23060Office #2: 129 West Patrick St., Ste. 6, Frederick, MD 21701RIA
BD
CRD#: 14169
Glen Allen, VA
Current
October 19, 2022 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 4050 Innslake Drive Suite 250, Glen Allen, VA 23060Office #2: 129 West Patrick St., Ste. 6, Frederick, MD 21701RIA
BD
CRD#: 14169
Glen Allen, VA
Past
November 5, 2019 - November 15, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
FREDERICK, MD
Past
November 4, 2019 - November 15, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
FREDERICK, MD
Past
January 3, 2006 - October 28, 2022
CANTELLA & CO., INC.
RIA
CRD#: 13905
FREDERICK, MD
Past
January 3, 2006 - October 28, 2022
CANTELLA & CO., INC.
BD
CRD#: 13905
FREDERICK, MD
Past
March 11, 1999 - December 31, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
FREDERICK, MD
Past
January 4, 1999 - December 31, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
FREDERICK, MD
Past
August 4, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
October 21, 1987 - August 13, 1997
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
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
Arkansas(10/19/2022)
RR
California(7/15/2025)
RR
Colorado(10/19/2022)
RR
Connecticut(10/19/2022)
RR
District of Columbia(10/19/2022)
RR
Florida(10/19/2022)
RR
Indiana(10/19/2022)
RR
Maryland(10/19/2022)
IAR
Maryland(10/19/2022)
RR
Montana(10/19/2022)
RR
New Jersey(11/20/2023)
RR
North Carolina(10/19/2022)
RR
Ohio(7/15/2025)
RR
Pennsylvania(10/19/2022)
RR
South Carolina(10/19/2022)
RR
Texas(9/11/2025)
RR
Vermont(10/19/2022)
RR
Virginia(10/19/2022)
RR
West Virginia(10/19/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/3/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
Company Information
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169Glen Allen, VA 23060TRUST BUT VERIFY
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