James L. Day

CAPITOL SECURITIES MANAGEMENT

Reston, VA 20190

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CRD#: 2014283

Professional summary

James Lee Day, who also goes by Jim Day, Jimmy Day, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Reston, Virginia.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Day | Jimmy Day

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: CS Wealth Management Investment-related: Yes Address: 12100 Sunset Hills Road Suite 100 Reston, VA 20190

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lee Day's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Lee Day'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

July 15, 2019 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 12100 Sunset Hills Road Suite 100, Reston, VA 20190

RIA

CRD#: 14169

Reston, VA

Current

July 15, 2019 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 12100 Sunset Hills Road Suite 100, Reston, VA 20190

RIA

CRD#: 14169

Reston, VA

Past

October 1, 2018 - April 9, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

ROUND HILL, VA

Past

October 1, 2018 - April 9, 2019

LPL FINANCIAL LLC

CRD#: 6413

ROUND HILL, VA

Past

November 9, 2010 - December 18, 2012

CAPITOL SECURITIES & ASSOCIATES, INC.

CRD#: 7278

GLEN ALLEN, VA

Past

December 2, 2005 - August 2, 2018

CAPITOL SECURITIES MANAGEMENT, INC.

RIA

CRD#: 14169

RESTON, VA

Past

January 14, 2004 - August 2, 2018

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

RESTON, VA

Past

July 15, 2002 - January 5, 2004

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

WASHINGTON, DC

Past

May 7, 2002 - July 1, 2002

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

May 3, 2001 - April 3, 2002

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

WASHINGTON, DC

Past

September 18, 1992 - December 8, 1992

FERRIS, BAKER WATTS, LLC

CRD#: 285

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

Virginia
(7/15/2019)

IAR

Virginia
(7/15/2019)

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: 7/14/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/11/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 8/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/29/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/2/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/4/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/5/2004

General Securities Principal 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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Advisor Monitoring

Firm Stability Insights

James L. Day

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lee Day's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Lee Day's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITOL SECURITIES MANAGEMENT, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CAPITOL SECURITIES & ASSOCIATES, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

MISSIONSQUARE INVESTMENT SERVICES

LEGG MASON WOOD WALKER, INCORPORATED

MISSIONSQUARE INVESTMENT SERVICES

FERRIS, BAKER WATTS, LLC

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/2005

Series 63

Date: 5/11/2001

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 8/2/2018

Series 7

Date: 4/29/2004

Series 6

Date: 5/2/2001

Series 53

Date: 12/4/2008

Series 24

Date: 11/5/2004

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.

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