Robert H. Humphreys

CAPITOL SECURITIES MANAGEMENT

Bradenton, FL

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CRD#: 1827971

Professional summary

Robert Haywood Humphreys, who also goes by Bobby Humphreys, is a registered financial professional currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Bradenton, Florida.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bobby Humphreys

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) - BD

Click below to view Robert Haywood Humphreys'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

February 12, 2010 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

RIA

CRD#: 14169

Bradenton, FL

Past

February 16, 2010 - November 24, 2010

CAPITOL SECURITIES MANAGEMENT, INC.

RIA

CRD#: 14169

GLEN ALLEN, VA

Past

March 13, 2009 - February 18, 2010

RBC CAPITAL MARKETS, LLC

CRD#: 31194

VIRGINIA BEACH, VA

Past

January 17, 2003 - March 13, 2009

FERRIS, BAKER WATTS, LLC

CRD#: 285

VIRGINIA BEACH, VA

Past

May 5, 1999 - January 27, 2003

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

May 30, 1989 - May 5, 1999

SCOTT & STRINGFELLOW, INC.

CRD#: 3309

RICHMOND, VA

Past

June 2, 1988 - June 7, 1989

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

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.

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

Florida
(8/13/2010)

Georgia
(8/13/2010)

North Carolina
(12/11/2012)

Pennsylvania
(5/13/2024)

Virginia
(8/13/2010)

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.

Exams

State Security Law Exam

Series 63

Date: 5/23/1988

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: 5/21/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/9/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/19/2006

General Securities Sales Supervisor - Options Module 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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Robert H. Humphreys

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Haywood Humphreys's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITOL SECURITIES MANAGEMENT, INC.

RBC CAPITAL MARKETS, LLC

FERRIS, BAKER WATTS, LLC

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, INC.

J. W. GANT & ASSOCIATES, INC.

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/23/1988

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1988

Series 10

Date: 6/9/2006

Series 9

Date: 5/19/2006

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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