RJ
Robert R. Joseph
CAPITOL SECURITIES MANAGEMENT
Wellesley, MA 02482
Some features on this profile are disabled
CRD#: 262303
RJ
Professional summary
Robert Raymond Joseph is a registered financial professional currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Wellesley, Massachusetts.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1981. Robert has worked at 4 firms and has passed the Series 63, Series 52TO, Series 7TO, Series 99TO, SIE, Series 1, Series 53, Series 24, Series 27, Series 4, F04 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Robert Raymond Joseph'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
September 18, 2009 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 1 Hollis Street Suite 213, Wellesley, MA 02482RIA
BD
CRD#: 14169
Wellesley, MA
Past
March 29, 1988 - May 31, 2011
CAPITOL SECURITIES & ASSOCIATES, INC.
BD
CRD#: 7278
FRANKLIN, MA
Past
May 27, 1983 - March 19, 1988
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
BD
CRD#: 7303
Past
February 26, 1981 - May 17, 1983
DETWILER FENTON & CO.
BD
CRD#: 1794
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.
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
Alabama(10/26/2009)
RR
Arizona(10/26/2009)
RR
Florida(9/18/2009)
RR
Georgia(12/8/2010)
RR
Massachusetts(10/2/2009)
RR
New Hampshire(10/26/2009)
RR
New York(9/18/2009)
RR
South Carolina(3/28/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/2/1966
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
F04
Date: 2/28/1976
Financial Principal ExaminationPrincipal/Supervisory Exam
RR
Series 00
Date: 12/7/1971
General Securities Principal ExaminationSRO 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169Wellesley, MA 02482TRUST BUT VERIFY
Monitor Robert Joseph
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
