Claire E. Soja

CAPITOL SECURITIES MANAGEMENT

Littleton, MA

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CRD#: 2521634

Professional summary

Claire E Soja, who also goes by Claire Elaine Shapiro, Claire Elaine Soja, Clarie Soja, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Littleton, Massachusetts.

Claire is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Claire has worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 5, Series 15, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Claire Elaine Shapiro | Claire Elaine Soja | Clarie Soja

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

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Claire E Soja's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Claire E Soja'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

August 12, 2022 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #2: 1 Hollis Street Suite 213, Wellesley, MA 02482

RIA

CRD#: 14169

Littleton, MA

Current

August 11, 2022 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 1 Hollis Street Suite 213, Wellesley, MA 02482

RIA

CRD#: 14169

Wellesley, MA

Past

May 17, 2021 - August 23, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Boston, MA

Past

May 14, 2021 - August 23, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Boston, MA

Past

May 7, 2021 - May 24, 2021

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

BOSTON, MA

Past

March 19, 2021 - May 24, 2021

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOSTON, MA

Past

August 4, 2014 - April 13, 2021

WINSLOW, EVANS & CROCKER, INC.

RIA

CRD#: 29686

BOSTON, MA

Past

July 31, 2014 - April 13, 2021

WINSLOW, EVANS & CROCKER, INC.

CRD#: 29686

BOSTON, MA

Past

December 15, 2011 - July 31, 2014

DETWILER FENTON WEALTH MANAGEMENT INC

CRD#: 16063

BOSTON, MA

Past

August 25, 2010 - July 31, 2014

DETWILER FENTON INVESTMENT MANAGEMENT LLC

RIA

CRD#: 153808

BOSTON, MA

Past

January 3, 2007 - December 1, 2010

DETWILER FENTON & CO.

RIA

CRD#: 1794

BOSTON, MA

Past

June 23, 2005 - December 31, 2006

DETWILER FENTON & CO.

RIA

CRD#: 1794

BOSTON, MA

Past

June 14, 2005 - July 31, 2014

DETWILER FENTON & CO.

CRD#: 1794

BOSTON, MA

Past

October 1, 2000 - June 2, 2005

BROWN BROTHERS HARRIMAN & CO.

CRD#: 104487

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

IAR

California
(8/12/2022)

Connecticut
(8/26/2022)

Florida
(8/22/2022)

Georgia
(9/14/2022)

Maine
(8/11/2022)

Massachusetts
(8/12/2022)

IAR

Massachusetts
(8/17/2022)

North Carolina
(8/24/2022)

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 66

Date: 6/22/2005

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/2/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/18/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 12/14/1984

Interest Rate Options Examination

General Industry/Product Exam

Series 15

Date: 5/4/1983

Foreign Currency Options Examination

Principal/Supervisory Exam

Series 10

Date: 3/9/1994

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/9/1994

General Securities Sales Supervisor - Options Module 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

Claire E. Soja

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Claire E Soja's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Claire E Soja's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITOL SECURITIES MANAGEMENT, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

WINSLOW, EVANS & CROCKER, INC.

WINSLOW, EVANS & CROCKER, INC.

DETWILER FENTON WEALTH MANAGEMENT INC

DETWILER FENTON INVESTMENT MANAGEMENT LLC

DETWILER FENTON & CO.

DETWILER FENTON & CO.

DETWILER FENTON & CO.

BROWN BROTHERS HARRIMAN & CO.

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/22/2005

Series 65

Date: 11/2/1994

Series 63

Date: 7/18/1994

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 5

Date: 12/14/1984

Series 15

Date: 5/4/1983

Series 10

Date: 3/9/1994

Series 9

Date: 3/9/1994

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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