WS
William H. Stewart
CAPITOL SECURITIES MANAGEMENT
Boston, MA 02109
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CRD#: 1741754
WS
Professional summary
William Holmes Stewart, who also goes by Bill Stewart, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Boston, Massachusetts.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. William has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Stewart
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.
CRS (Client Relationship Summary) - RIA
Click below to view William Holmes Stewart's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Holmes Stewart'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 3, 2023 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 50 Congress Street Suite 700, Boston, MA 02109RIA
BD
CRD#: 14169
Boston, MA
Current
October 25, 2023 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 50 Congress Street Suite 700, Boston, MA 02109RIA
BD
CRD#: 14169
Boston, MA
Past
December 9, 2020 - October 31, 2023
ARTHUR WOOD INVESTMENT ADVISORS CORP
RIA
CRD#: 307300
BOSTON, MA
Past
September 29, 2009 - October 31, 2023
WOOD (ARTHUR W.) COMPANY, INC.
BD
CRD#: 3798
BOSTON, MA
Past
September 26, 2007 - October 8, 2009
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
BOSTON, MA
Past
June 19, 2000 - October 8, 2009
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
BOSTON, MA
Past
November 2, 1995 - June 26, 2000
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
September 24, 1987 - October 25, 1995
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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
California(10/31/2023)
RR
Colorado(11/1/2023)
RR
Connecticut(10/31/2023)
RR
Florida(11/1/2023)
RR
Maine(11/3/2023)
RR
Massachusetts(10/31/2023)
IAR
Massachusetts(11/3/2023)
RR
Michigan(11/2/2023)
RR
New Hampshire(11/3/2023)
RR
New Jersey(11/1/2023)
RR
New York(11/6/2023)
RR
North Carolina(11/2/2023)
RR
Ohio(10/31/2023)
RR
Pennsylvania(11/1/2023)
RR
Rhode Island(11/1/2023)
RR
South Carolina(11/6/2023)
RR
Vermont(11/1/2023)
RR
Virginia(11/1/2023)
RR
Wisconsin(10/31/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169Boston, MA 02109TRUST BUT VERIFY
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