LS
Laura L. Settle
CAPITOL SECURITIES MANAGEMENT
CHARLOTTESVILLE, VA 22902
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CRD#: 2528371
LS
Professional summary
Laura Lynn Settle is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Charlottesville, Virginia.
Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Laura has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Name of Business: SENTARA MARTHA JEFFERSON HOSPITAL
Investment-related: NO
Address: 500 MARTHA JEFFERSON DR CHARLOTTESVILLE, VA 22911
Nature of the other business: Hospital
Position, title, or relationship with the other business: patient access
Start date: 7/2009
Approx # of hours/month you devote to the other business: 60
Approx # of hours/month you devote to the other business during securities trading hours: 0
Describe your duties relating to the other business: register patients in emergency room. verify patient information
CRS (Client Relationship Summary) - RIA
Click below to view Laura Lynn Settle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Laura Lynn Settle'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 18, 2011 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 414 E. Market Street St.suite F, Charlottesville, VA 22902RIA
BD
CRD#: 14169
CHARLOTTESVILLE, VA
Current
November 18, 2011 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 414 E. Market Street St.suite F, Charlottesville, VA 22902RIA
BD
CRD#: 14169
CHARLOTTESVILLE, VA
Past
April 4, 2005 - November 21, 2011
ANDERSON & STRUDWICK, INCORPORATED
RIA
CRD#: 48
CHARLOTTESVILLE, VA
Past
January 13, 1999 - April 4, 2005
A&S CAPITAL ADVISORS, INC.
RIA
CRD#: 108827
CHARLOTTESVILLE, VA
Past
August 26, 1998 - November 21, 2011
ANDERSON & STRUDWICK, INCORPORATED
BD
CRD#: 48
CHARLOTTESVILLE, VA
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
Arkansas(10/1/2016)
RR
California(10/1/2016)
RR
Florida(10/1/2016)
RR
Maryland(11/18/2011)
RR
New York(10/1/2016)
RR
Ohio(10/3/2016)
RR
Tennessee(11/18/2011)
RR
Texas(10/1/2016)
RR
Virginia(11/18/2011)
IAR
Virginia(11/18/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
