TK
Thomas H. Kepley
CAPITOL SECURITIES MANAGEMENT
Columbia, SC 29206
Some features on this profile are disabled
CRD#: 2000973
TK
Professional summary
Thomas Howard Kepley JR is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Columbia, South Carolina.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 24, Series 4 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Kepley Insurance Services LLC IR?: Yes Address:4408 forest dr. Ste100 Columbia SC Nature of business:sell Life, Accident, Health, LTC & Fixed Annuity products & services Title:President Start:ongoing Appx#of hours/month devoted to other business: 4 Appx#of hours/month devoted during securities trading hrs: 4 Duties:Sell Life, Accident, Health, LTC, & Fixed Annuity products & services 2) U.S. SELECTIVE SERVICE SYSTEM IR?: No Address:National Headquarters, Arlington, VA 22209 Nature of business: This is the US org. that maintains and operates the draft system for the Department of Defense Title:Draft Board Member Start:Ongoing Appx# of hours/month devoted to other business: 4 Appx# of hours/month devoted during securities trading hrs: 0 Duties: Maintain training to support the US if they ever reinstated the military draft system. If reinstated, serve as a Board Member at local hearings 3) VIRGINIA-CAROLINAS SCHOLARSHIP FOUNDATION IR?:Yes Address:4408 FOREST DRIVE, COLUBIA SC 29206 Nature of business: Scholarship Foundation Title: Chairman, Scholarship Committee Start:Ongoing Appx# of hours/month devoted other business: 4 Appx# of hours/month devoted to other business during securities trading hrs: 4 Duties: Coordinate with the Corporate Trustee and VA Tech to select candidates for scholarships 4)NATIONAL WILD TURKEY FEDERATION IR?: No Address:324 Cockspur Road Irmo, SC 29063 Nature of business: a local chapter of the non-profit national wild turkey federation that operates the local fundraising and conservation efforts for NWTF through an annual banquet and other activities Title:committee member Start:ongoing Appx#of hours/month devoted other business: 4 Appx#of hours/month devoted to other business during securities trading hrs: 0 Duties:assist in local chapter at annual fundraising banquet &other activities 5) FOREST ACRES COUNCIL OF COOWNERS IR?: yes Address:4408 FOREST DRIVE, COLUBIA SC 29206 Nature of business: This is a office regime that manages the building, grounds for property Title:Secretary Start:06/1998 Appx#of hours/month devoted to other business: 4 Appx# of hours/month devoted during securities trading hrs:4 Duties:work with the owners to manage building grounds 6)DBA:ALLIANCE RETIREMENT GROUP, LLC IR?: yes Address:4502 BRIANWOOD ROAD, COLUMBIA, SC 29206 7)DBA:TH KEPLEY FINANCIAL SERVICES, LLC IR?: Yes Address:4408 FOREST DRIVE, COLUBIA SC 29206 8)Trust account:Kepley Family Trust Trustee on FAMILY account Relationship of grantor:Ann D. Kepley Mother 9)Buck 'N Strut Hunt Club IR?: No Address:4502 Briarwood Rd Columbia, SC 29206 Nature of business: a Hunt club for the purpose of hunting deer, turkeys &hogs. The club collects dues from members that are used to pay for the tracts of land that are leased Title: President Start: ongoing Appx#of hours/month devoted to the business: 1-2 Appx#of hours/month devoted during securities trading hrs: 0 Duties: Maintain membership lists, collects dues, pay landlords for the leases 10) Swift Creek Dove Club IR?: No Address: 1416 Sunbury Lane Columbia, SC 29205 Nature of business: Club that is organized to lease fields for Dove Hunting. Collect dues from members that are used to fund the cost of the fields that leased Title:Secretary/Treasurer Start: ongoing Appx # of hours/month you devote to the other business:1-2 Appx # of hours/month you devote to the other business during securities trading hrs:0 Duties:Maintains membership lists, collects dues &pay the Farmer for the fields that are leased each year
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Howard Kepley JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Howard Kepley JR'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 8, 2008 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 4408 Forest Drive Suite 100, Columbia, SC 29206RIA
BD
CRD#: 14169
Columbia, SC
Current
December 19, 2007 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 4408 Forest Drive Suite 100, Columbia, SC 29206RIA
BD
CRD#: 14169
Columbia, SC
Past
August 2, 2005 - December 10, 2007
ANDERSON & STRUDWICK, INCORPORATED
RIA
CRD#: 48
COLUMBIA, SC
Past
August 2, 2005 - December 10, 2007
ANDERSON & STRUDWICK, INCORPORATED
BD
CRD#: 48
COLUMBIA, SC
Past
October 25, 1989 - August 2, 2005
KEPLEY & CO., INCORPORATED
BD
CRD#: 20613
RICHMOND, VA
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
Delaware(7/11/2008)
RR
Maryland(7/28/2025)
RR
Massachusetts(11/17/2017)
RR
New Jersey(12/19/2007)
RR
New York(12/19/2007)
RR
North Carolina(12/19/2007)
RR
South Carolina(12/19/2007)
IAR
South Carolina(1/8/2008)
RR
Virginia(12/19/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 14169Columbia, SC 29206TRUST BUT VERIFY
Monitor Thomas Kepley
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
