RE
Richard W. Ervolino
CAPITAL MANAGEMENT SERVICES
Hypoluxo, FL
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CRD#: 2326532
RE
Professional summary
Richard William Ervolino, who also goes by Richard Ervolino, is a registered financial advisor currently at CAPITAL MANAGEMENT SERVICES, INC. located in Hypoluxo, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Richard has worked at 15 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Ervolino
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) Owner of USA Tax Plan, Inc.: investment related: No; Location: 156 Las Brisas Circle,Hypoluxo FL. 33462; Description of the business: Agent runs insurance business,annuity business through his Subs corp for tax purposes; Responsibilities Duties: sell insurance and annuities; Start date with business: 2012-02-03; Hours devoted to business during trading hours: 4; Hours devoted to business outside trading hours: 4; Percentage of total yearly compensation expected to be derived from the business: 15; 2) Independent Contractor Consultant for Tax & Retirement Institute, LLC since 2019, a non-investment related financial education business located in Boca Raton, FL, providing education related to tax, insurance, retirement and estate planning. Activity represents less than 10 hours per month which may be during or outside of regular business hours. 3) director; GreenMask LLC; investment related: No; Location: 7800 Congress ave,Boca Raton FL.33487; Description of the business: Selling face masks; Responsibilities Duties: This is a NON-Public company with no sales. Friends asked for marketing suggestions for sale of face masks.; Start date with business: 2022-01-03; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 6; Percentage of total yearly compensation expected to be derived from the business: 0;
CRS (Client Relationship Summary) - RIA
Click below to view Richard William Ervolino'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
November 23, 2020 - Present
CAPITAL MANAGEMENT SERVICES, INC.
RIA
CRD#: 118260
Hypoluxo, FL
Past
May 11, 2012 - September 23, 2020
MODERN CAPITAL ADVISORS, LLC
RIA
CRD#: 131117
HYPOLUXO, FL
Past
February 29, 2012 - September 23, 2020
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
BD
CRD#: 130390
West Palm Beach, FL
Past
February 9, 2009 - March 2, 2012
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BOCA RATON, FL
Past
December 23, 2008 - March 2, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BOCA RATON, FL
Past
January 28, 2005 - December 23, 2008
NFSG CORPORATION
RIA
CRD#: 130814
WEST PALM BEACH, FL
Past
March 10, 2003 - December 23, 2008
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
WEST PALM BEACH, FL
Past
March 18, 2002 - December 9, 2002
CGS FINANCIAL INC.
BD
CRD#: 43125
SCOTTSDALE, AZ
Past
November 1, 2000 - December 31, 2003
ADVISOR'S CAPITAL INVESTMENTS INC,
RIA
CRD#: 104811
HYPOLUXO, FL
Past
September 21, 2000 - March 15, 2002
PACVEST ASSOCIATES, INC.
BD
CRD#: 29583
WOODSTOCK, CT
Past
October 8, 1999 - September 20, 2000
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
February 7, 1999 - September 27, 1999
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past
June 19, 1997 - January 12, 1999
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
January 4, 1996 - June 5, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 4, 1996 - June 5, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
June 2, 1993 - May 18, 1995
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
CM
CAPITAL MANAGEMENT SERVICES, INC.
CAPITAL MANAGEMENT SERVICES, INC. | RETIREMENT PLANNING SPECIALISTS | OSTLUND WEALTH MANAGEMENT | HTTPS://WWW.LINKEDIN.COM/IN/IRA-RICK-RICHARDSON | HTTPS://IRARICHARDSON.FREEDOMEQUITYGROUP.COM/ | GROVE WEALTH ADVISORS | CMS CAPITAL MANAGEMENT SERVICES
CRD#: 118260 / SEC#: 801-117988
RIA
Registered Investment Advisory firm - (1/21/2020 Approved)California
Registered Investment Advisory firm - (2/23/2020 Terminated)Florida
Registered Investment Advisory firm - (1/24/2020 Terminated)Georgia
Registered Investment Advisory firm - (2/21/2020 Terminated)Kansas
Registered Investment Advisory firm - (1/24/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/24/2020 Terminated)Texas
Registered Investment Advisory firm - (1/24/2020 Terminated)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.Highlighted states indicate IAR registrations
IAR
Florida(11/23/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/13/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CM
CAPITAL MANAGEMENT SERVICES, INC.
CAPITAL MANAGEMENT SERVICES, INC. | RETIREMENT PLANNING SPECIALISTS | OSTLUND WEALTH MANAGEMENT | HTTPS://WWW.LINKEDIN.COM/IN/IRA-RICK-RICHARDSON | HTTPS://IRARICHARDSON.FREEDOMEQUITYGROUP.COM/ | GROVE WEALTH ADVISORS | CMS CAPITAL MANAGEMENT SERVICES
CRD#: 118260 / SEC#: 801-117988
RIA
Registered Investment Advisory firm - (1/21/2020 Approved)California
Registered Investment Advisory firm - (2/23/2020 Terminated)Florida
Registered Investment Advisory firm - (1/24/2020 Terminated)Georgia
Registered Investment Advisory firm - (2/21/2020 Terminated)Kansas
Registered Investment Advisory firm - (1/24/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/24/2020 Terminated)Texas
Registered Investment Advisory firm - (1/24/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
410 Sovereign Ct. Suite 13, Manchester, MO 63011
Mailing Address
Phone number
(636) 207-5829
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 608 |
| AUM (Assets Under Management) | $ 141,700,000 |
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.
