Alan W. Sharpe

CAPITOL SECURITIES MANAGEMENT

Woburn, MA 01801

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CRD#: 2011593

Professional summary

Alan Walton Sharpe, who also goes by Alan W Sharpe, Alan Sharpe, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Woburn, Massachusetts.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Alan has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan W Sharpe | Alan Sharpe

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.

Doing Business As: AL Sharpe Financial LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Walton Sharpe's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Alan Walton Sharpe'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

October 26, 2023 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 1ca57 400 Trade Center Suite 5900, Woburn, MA 01801

RIA

CRD#: 14169

Woburn, MA

Current

October 23, 2023 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 1ca57 400 Trade Center Suite 5900, Woburn, MA 01801

RIA

CRD#: 14169

Woburn, MA

Past

December 9, 2020 - October 31, 2023

ARTHUR WOOD INVESTMENT ADVISORS CORP

RIA

CRD#: 307300

BOSTON, MA

Past

December 6, 2019 - October 31, 2023

WOOD (ARTHUR W.) COMPANY, INC.

CRD#: 3798

BOSTON, MA

Past

March 30, 2016 - December 18, 2019

MOORS & CABOT, INC.

CRD#: 594

BOSTON, MA

Past

March 28, 2016 - December 18, 2019

MOORS & CABOT, INC.

RIA

CRD#: 594

BOSTON, MA

Past

September 21, 2009 - March 23, 2016

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

BURLINGTON, MA

Past

May 22, 2009 - March 23, 2016

RBC CAPITAL MARKETS, LLC

CRD#: 31194

BURLINGTON, MA

Past

July 1, 2003 - May 26, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ANDOVER, MA

Past

May 14, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 3, 1995 - May 15, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 30, 1990 - November 14, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(10/31/2023)

California
(10/26/2023)

Connecticut
(10/26/2023)

Florida
(10/27/2023)

Maine
(10/25/2023)

Maryland
(10/26/2023)

Massachusetts
(10/23/2023)

IAR

Massachusetts
(10/26/2023)

New Hampshire
(10/26/2023)

New Jersey
(10/26/2023)

New York
(10/26/2023)

Rhode Island
(10/26/2023)

Texas
(10/27/2023)

West Virginia
(10/26/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/15/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/3/1990

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: 7/27/1990

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/15/1989

National Commodity Futures 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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Firm Stability Insights

Alan W. Sharpe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Walton Sharpe's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Alan Walton Sharpe's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITOL SECURITIES MANAGEMENT, INC.

ARTHUR WOOD INVESTMENT ADVISORS CORP

WOOD (ARTHUR W.) COMPANY, INC.

MOORS & CABOT, INC.

MOORS & CABOT, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/15/2009

Series 63

Date: 8/3/1990

SIE

Date: 10/1/2018

Series 7

Date: 7/27/1990

Series 3

Date: 11/15/1989

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.

TRUST BUT VERIFY

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