JS
John J. Scarpino
CAPITOL SECURITIES MANAGEMENT
Pearl River, NY 10965
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CRD#: 1846135
JS
Professional summary
John Joseph Scarpino, who also goes by John J D Scarpino, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Pearl River, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. John has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John J D Scarpino
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: John Scarpino - Insurance Products Investment-related: Yes Address: 1 Blue Hill Plaza Pearl River, NY 10965 Nature of OBA: Sale of Fixed Annuities Position, title, or relationship with OBA: Advisor Start date: 11/1/22 Approx # of hours/month you devote to OBA: 1 Approx # of hours/month you devote to OBA during trading hours: 1 Duties: Sale of fixed annuity 2) Doing Business As: Pivotal Wealth Management, Inc Investment-related: Yes Address: 1 Blue Hill Plaza Pearl River, NY 10965 3)"Name of Business: Community Foundation of Orange + Sullivan Investment-related: No Address: 30 Scott's Corner Drive #203 Montgomery, NY 12549 Nature of OBA: non-profit to run events to help families of our armed forces Position, title, or relationship with OBA: Member Start date: 3/8/23 Approx # of hours/month you devote to OBA: 2 Approx # of hours/month you devote to OBA during trading hours: 0 Duties: Fund raising and help with picnics "
CRS (Client Relationship Summary) - RIA
Click below to view John Joseph Scarpino's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Joseph Scarpino'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
May 27, 2022 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 1 Blue Hill Plaza, Lobby Level , #1509, Pearl River, NY 10965RIA
BD
CRD#: 14169
Pearl River, NY
Current
May 27, 2022 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 1 Blue Hill Plaza, Lobby Level , #1509, Pearl River, NY 10965RIA
BD
CRD#: 14169
Pearl River, NY
Past
March 26, 2021 - May 31, 2022
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
Suffern, NY
Past
June 22, 2017 - May 31, 2022
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
Suffern, NY
Past
May 19, 2016 - May 18, 2017
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
Cornwall, NY
Past
April 20, 2016 - May 18, 2017
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
Cornwall, NY
Past
February 28, 1989 - September 14, 1990
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
August 3, 1988 - March 7, 1989
ADVEST, INC.
BD
CRD#: 10
Past
June 21, 1988 - August 15, 1988
WALL STREET WEST, INC.
BD
CRD#: 7529
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
Connecticut(5/27/2022)
RR
Delaware(2/28/2023)
RR
Florida(5/27/2022)
RR
Massachusetts(5/27/2022)
RR
New Jersey(5/27/2022)
RR
New York(5/27/2022)
IAR
New York(5/27/2022)
RR
North Carolina(11/13/2023)
RR
Pennsylvania(5/27/2022)
RR
Virginia(9/23/2025)
IAR
Virginia(9/24/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
