LP
Louis A. Pepe
CAPITOL SECURITIES MANAGEMENT
Melville, NY 11747
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CRD#: 2296683
LP
Professional summary
Louis Anthony Pepe is a registered financial professional currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Melville, New York.
Louis is registered as a RR (Registered Representative) and started their career in finance in 1993. Louis has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Louis Anthony Pepe'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
October 23, 2012 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 201 Old Country Road Suite 206, Melville, NY 11747RIA
BD
CRD#: 14169
Melville, NY
Past
October 7, 2010 - December 18, 2012
CAPITOL SECURITIES & ASSOCIATES, INC.
BD
CRD#: 7278
MELVILLE, NY
Past
August 16, 2002 - October 8, 2010
WESTROCK ADVISORS, INC.
BD
CRD#: 114338
MELVILLE, NY
Past
February 15, 2001 - September 6, 2002
WEATHERLY SECURITIES CORPORATION
BD
CRD#: 11081
NEW YORK, NY
Past
May 26, 1994 - February 5, 2001
TASIN & COMPANY, INC.
BD
CRD#: 30709
HAUPPAUGE, NY
Past
February 24, 1993 - May 26, 1994
ROBERT TODD FINANCIAL CORP.
BD
CRD#: 7423
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".
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.
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
California(10/25/2012)
RR
Connecticut(10/25/2012)
RR
Florida(12/12/2012)
RR
Georgia(1/24/2020)
RR
Illinois(10/25/2012)
RR
Indiana(5/7/2013)
RR
Kansas(6/20/2022)
RR
Kentucky(10/31/2023)
RR
Louisiana(10/30/2023)
RR
Maryland(7/29/2021)
RR
Massachusetts(12/10/2012)
RR
Minnesota(12/13/2012)
RR
Nevada(1/24/2020)
RR
New Jersey(11/27/2012)
RR
New York(11/20/2012)
RR
North Carolina(12/19/2012)
RR
Pennsylvania(12/10/2012)
RR
Virginia(12/18/2012)
RR
Wisconsin(10/1/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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)
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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.
