LR
Lysa J. Rothenberg
CAPITOL SECURITIES MANAGEMENT
Alexandria, VA
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CRD#: 1828542
LR
Professional summary
Lysa Jill Rothenberg, CFP®, who also goes by Lysa J Rothenberg, Lysa Jill Schwartz, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Alexandria, Virginia.
Lysa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Lysa has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Tax Planning
Investment Planning
Comprehensive Financial Planni...
Are you a "fiduciary"?
Yes
Aliases
Lysa J Rothenberg | Lysa Jill Schwartz
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: Money Matters Inc
Investment-related: YES
Address: 6135 Olivet Drive Alexandria, VA 22315
Nature of the other business: Tax Preparation
Position, title, or relationship with the other business: President/Business Owner
Start Date: 2/2/18 Approx# of hours/month you devote to the other business: 80 per month Feb-April
Approx# of hours/month you devote to the other business during securities trading hours: 10-15
Describe your duties relating to the other business: Gather clients tax documents, meet or discuss by phone, complete, review with client, file return
CRS (Client Relationship Summary) - RIA
Click below to view Lysa Jill Rothenberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lysa Jill Rothenberg'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®
CFP®
Start date: 1987
Experience
Current
February 8, 2018 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
RIA
BD
CRD#: 14169
Alexandria, VA
Current
February 8, 2018 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
RIA
BD
CRD#: 14169
Alexandria, VA
Past
January 4, 2017 - December 5, 2017
NAVY FEDERAL INVESTMENT SERVICES, LLC
RIA
CRD#: 138459
Alexandria, VA
Past
September 8, 2007 - January 4, 2017
NAVY FEDERAL ASSET MANAGEMENT, LLC
RIA
CRD#: 144244
SPRINGFIELD, VA
Past
May 22, 2007 - September 8, 2007
NAVY FEDERAL INVESTMENT SERVICES, LLC
RIA
CRD#: 138459
Alexandria, VA
Past
May 22, 2007 - December 5, 2017
NAVY FEDERAL INVESTMENT SERVICES, LLC
BD
CRD#: 138459
Alexandria, VA
Past
January 28, 2005 - May 22, 2007
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
MCLEAN, VA
Past
January 28, 2005 - May 22, 2007
FSC SECURITIES CORPORATION
BD
CRD#: 7461
MCLEAN, VA
Past
May 19, 1992 - December 31, 2004
CAPITOL SECURITIES MANAGEMENT, INC.
RIA
CRD#: 14169
MCLEAN, VA
Past
June 9, 1989 - December 31, 2004
CAPITOL SECURITIES MANAGEMENT, INC.
BD
CRD#: 14169
GLEN ALLEN, VA
Past
January 31, 1989 - June 13, 1989
INVESTORS GROUP, LTD.
BD
CRD#: 18187
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(2/26/2024)
RR
Delaware(10/2/2018)
RR
District of Columbia(2/8/2018)
RR
Florida(2/8/2018)
RR
Georgia(8/20/2024)
RR
Maryland(2/8/2018)
RR
New York(10/5/2022)
RR
Ohio(3/10/2022)
RR
Tennessee(2/8/2018)
IAR
Texas(8/31/2020)
IAR
Virginia(2/8/2018)
RR
Virginia(2/12/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
