RJ
Robert R. Joseph
CAPITOL SECURITIES MANAGEMENT
Wellesley, MA 02482
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CRD#: 2302064
RJ
Professional summary
Robert Raymond Joseph JR, who also goes by Rob Joseph Jr, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Wellesley, Massachusetts.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Robert has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Joseph Jr
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: The Wellesley Group Investment-related: Yes Address: 1 Hollis Street, Suite 350, Wellesley, MA 02482 "Name of Business: RRJ2, LLC Investment-related: no Address: One Hollis St Wellesley MA 02481 Nature of the other business: Pass through entity used to pay office rent, utilities, insurance etc. Position, title, or relationship with the other business: Partner Start date: 2009 Approx # of hours/month you devote to the other business: 0 Approx #of hours/month you devote to the other business during securities trading hours: 0 Describe your duties relating to the other business: Pay bills/expenses " "
CRS (Client Relationship Summary) - RIA
Click below to view Robert Raymond Joseph JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Raymond Joseph 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
September 28, 2009 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 1 Hollis Street Suite 213, Wellesley, MA 02482RIA
BD
CRD#: 14169
Wellesley, MA
Current
September 18, 2009 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 1 Hollis Street Suite 213, Wellesley, MA 02482RIA
BD
CRD#: 14169
Wellesley, MA
Past
June 11, 1998 - October 7, 2009
CAPITOL SECURITIES & ASSOCIATES, INC.
BD
CRD#: 7278
AMHERST, NH
Past
November 19, 1992 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
BD
CRD#: 7242
Past
November 19, 1992 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
BD
CRD#: 19655
Past
November 19, 1992 - June 25, 1998
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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.
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
Arizona(4/24/2019)
RR
California(12/12/2018)
RR
Colorado(9/18/2009)
RR
Connecticut(11/9/2021)
RR
Florida(9/18/2009)
RR
Georgia(9/18/2009)
RR
Illinois(11/19/2014)
RR
Indiana(12/3/2009)
RR
Iowa(9/4/2020)
RR
Kansas(6/17/2024)
RR
Kentucky(9/26/2023)
RR
Maine(9/2/2020)
RR
Massachusetts(9/18/2009)
IAR
Massachusetts(9/28/2009)
RR
Missouri(9/3/2013)
RR
Nevada(10/18/2024)
RR
New Hampshire(5/6/2020)
RR
New Jersey(9/18/2009)
RR
New Mexico(10/28/2024)
RR
New York(9/18/2009)
RR
Rhode Island(9/4/2020)
RR
South Carolina(2/27/2020)
RR
Texas(1/8/2020)
IAR
Texas(10/18/2021)
RR
Vermont(9/4/2020)
Exams
State Security Law Exam
State Security Law Exam
General 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.
Company Information
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169Wellesley, MA 02482TRUST BUT VERIFY
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Contact information
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