MO
Mark A. Outten
CAPITOL SECURITIES MANAGEMENT
Salisbury, MD 21804
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CRD#: 2595283
MO
Professional summary
Mark Alan Outten, ChFC® is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Salisbury, Maryland.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Mark has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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.
1) Name of Business: Outten Financial LLC Investment-related: No Address: 31400 WINTERPLACE PARKWAY SUITE 100 SALISBURY, MD 21804 Nature of the other business: For tax puproses only Position, title, or relationship with the other business: none Start date: ongoing 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: 2)Doing Business As: HAMMOND WEALTH MANAGEMENT, LLC Investment-related: Yes Address: 31400 WINTERPLACE PARKWAY, SALISBURY MD 21804.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Alan Outten's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Alan Outten'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®
Experience
Current
June 4, 2020 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 31400 Winterplace Parkway Suite 100, Salisbury, MD 21804RIA
BD
CRD#: 14169
Salisbury, MD
Current
June 4, 2020 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 31400 Winterplace Parkway Suite 100, Salisbury, MD 21804RIA
BD
CRD#: 14169
Salisbury, MD
Past
September 21, 2016 - June 22, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
SALISBURY, MD
Past
September 21, 2016 - June 22, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
SALISBURY, MD
Past
September 5, 2003 - September 30, 2016
M&T SECURITIES, INC.
RIA
CRD#: 17358
CHESTER, MD
Past
May 1, 2003 - September 30, 2016
M&T SECURITIES, INC.
BD
CRD#: 17358
CHESTER, MD
Past
February 12, 1996 - May 1, 2003
ALLFIRST BROKERAGE CORPORATION
BD
CRD#: 17531
BALTIMORE, MD
Past
April 6, 1995 - January 1, 1996
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".
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
Delaware(6/5/2020)
RR
Florida(6/5/2020)
RR
Georgia(7/2/2024)
RR
Maryland(6/4/2020)
IAR
Maryland(6/4/2020)
RR
North Carolina(6/5/2020)
RR
West Virginia(11/4/2021)
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.
