DS
David A. Shenton
CAPITOL SECURITIES MANAGEMENT
MOSELY, VA
Some features on this profile are disabled
CRD#: 2550873
DS
Professional summary
David Anthony Shenton is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Mosely, Virginia.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 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: Two Sons Imports Investment-related: no Address: 3973 Eagle Stone Drive Dayton, OH 45440 Nature of OBA: Passive investor in a tequila importer and distributor called Two Sons Position, title, or relationship with OBA: No title Start date: 12/31/20 Approx # of hours/month you devote to OBA: 0 Approx # of hours/month you devote to OBA during trading hours: 0 Duties: send 4-5 emails a year with status updates. Read 1 or 2.
CRS (Client Relationship Summary) - RIA
Click below to view David Anthony Shenton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Anthony Shenton'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
August 17, 2007 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
RIA
BD
CRD#: 14169
MOSELY, VA
Current
August 17, 2007 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 50 Congress Street Suite 700, Boston, MA 02109RIA
BD
CRD#: 14169
Boston, MA
Past
April 4, 2005 - August 20, 2007
ANDERSON & STRUDWICK, INCORPORATED
RIA
CRD#: 48
RICHMOND, VA
Past
March 11, 2002 - April 4, 2005
A&S CAPITAL ADVISORS, INC.
RIA
CRD#: 108827
RICHMOND, VA
Past
March 9, 2002 - March 21, 2002
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
February 8, 2002 - August 20, 2007
ANDERSON & STRUDWICK, INCORPORATED
BD
CRD#: 48
RICHMOND, VA
Past
March 28, 2001 - March 9, 2002
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
April 11, 1996 - March 28, 2001
BRANCH, CABELL & CO., INC.
BD
CRD#: 6820
RICHMOND, VA
Past
August 7, 1995 - April 8, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
October 26, 1994 - July 31, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
Colorado(8/23/2022)
RR
Delaware(8/17/2007)
RR
District of Columbia(10/31/2016)
RR
Florida(8/17/2007)
RR
Georgia(10/30/2023)
RR
Illinois(9/25/2023)
RR
Maryland(8/17/2007)
RR
Nevada(10/16/2013)
RR
New Hampshire(10/31/2023)
RR
New York(9/26/2007)
RR
North Carolina(10/3/2023)
RR
Pennsylvania(3/4/2015)
RR
South Carolina(10/31/2023)
IAR
Texas(9/16/2013)
RR
Texas(10/8/2015)
RR
Virginia(8/17/2007)
IAR
Virginia(8/17/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
