PB
Patrick T. Brosnan
CAPITOL SECURITIES MANAGEMENT
Leesburg, VA 20176
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CRD#: 1926867
PB
Professional summary
Patrick Timothy Brosnan, who also goes by Pat Brosnan, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Leesburg, Virginia.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Patrick has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pat Brosnan
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: Patrick T. Brosnan & Associates, LLC
Investment-related:No
Address: 810 CATOCTIN CIRCLE, NE LEESBURG, VA 20176
Nature of the other business: Tax Preparation and accounting services
Position, title, or relationship with the other business: Principal
Start date: 1/1/16
Approximate # of hours/month you devote to the other business: 40
Approximate # of hours/month you devote to the other business during securities trading hours: 24
Describe your duties relating to the other business: preparation of tax returns and related accounting
2) Name of Business: Patrick Brosnan
Investment-related: Yes
Address: . 810 CATOCTIN CIRCLE NE, LEESBURG, VA 20176
Nature of the other business: INSURANCE SALES
Position, title, or relationship with the other business: Insurance Sales Rep
Start date: 12/01/2014
Approximate #of hours/month you devote to the other business: 1
Approximate # of hours/month you devote to the other business during securities trading hours: 1
Describe your duties relating to the other business: selling LIFE, DISABILITY, HEALTH AND LONG-TERM CARE INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Timothy Brosnan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Timothy Brosnan'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
January 5, 2012 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 810 Catoctin Circle Ne, Leesburg, VA 20176RIA
BD
CRD#: 14169
Leesburg, VA
Current
January 5, 2012 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 810 Catoctin Circle Ne, Leesburg, VA 20176RIA
BD
CRD#: 14169
Leesburg, VA
Past
May 19, 2004 - December 31, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEESBURG, VA
Past
May 19, 2004 - December 31, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
LEESBURG, VA
Past
August 10, 1998 - May 12, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
LEESBURG, VA
Past
July 1, 1998 - May 12, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
July 24, 1989 - July 1, 1998
CAPITOL SECURITIES MANAGEMENT, INC.
BD
CRD#: 14169
GLEN ALLEN, VA
Past
April 3, 1989 - July 25, 1989
MONTGOMERY EQUITIES, INC.
BD
CRD#: 13309
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
District of Columbia(8/3/2023)
RR
Florida(11/14/2013)
RR
Maryland(1/5/2012)
RR
Minnesota(1/4/2012)
RR
North Carolina(11/7/2019)
RR
Oregon(1/5/2012)
RR
Pennsylvania(1/6/2012)
RR
South Carolina(1/6/2012)
RR
Virginia(1/5/2012)
IAR
Virginia(1/5/2012)
Exams
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#: 14169Leesburg, VA 20176TRUST BUT VERIFY
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