RC
Richard C. Cioffi
CAPITOL SECURITIES MANAGEMENT
Toms River, NJ 08753
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CRD#: 2638642
RC
Professional summary
Richard Carmine Cioffi, who also goes by Richard C Cioffi Jr, Richard Carmine Cioffi Jr, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Toms River, New Jersey.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard C Cioffi Jr | Richard Carmine Cioffi Jr
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: St. Josephs Grade School - Baseball Coach Investment-related: No Address: Toms River, NJ Nature of the other business: Coach Middle school varsity baseball team Position, title, or relationship with the other business: Manager Start date: 6/5/23 Approx number of hours/month you devote to the other business: 20 Approx number of hours/month you devote to the other business during securities trading hours: 0 Describe your duties relating to the other business: Run practices and manage games
CRS (Client Relationship Summary) - RIA
Click below to view Richard Carmine Cioffi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Carmine Cioffi'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
March 13, 2017 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 803 Main Street Suite #3, Toms River, NJ 08753Office #2: 25 Roosevelt Blvd, Marmora, NJ 08223RIA
BD
CRD#: 14169
Toms River, NJ
Current
March 9, 2017 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 803 Main Street Suite #3, Toms River, NJ 08753Office #2: 25 Roosevelt Blvd, Marmora, NJ 08223RIA
BD
CRD#: 14169
Toms River, NJ
Past
April 9, 2013 - March 22, 2017
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
RED BANK, NJ
Past
April 9, 2013 - March 22, 2017
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
RED BANK, NJ
Past
February 6, 2009 - April 10, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
TOMS RIVER, NJ
Past
February 6, 2009 - April 10, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
TOMS RIVER, NJ
Past
November 23, 2005 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
TOMS RIVER, NJ
Past
November 9, 2005 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
TOMS RIVER, NJ
Past
June 21, 2004 - October 7, 2005
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
September 16, 2002 - September 29, 2003
BNY INVESTMENT CENTER INC.
BD
CRD#: 47683
NEW YORK, NY
Past
June 28, 2002 - August 26, 2002
CAPITOL SECURITIES MANAGEMENT, INC.
BD
CRD#: 14169
GLEN ALLEN, VA
Past
May 19, 2000 - May 9, 2002
TD WEALTH MANAGEMENT SERVICES INC.
BD
CRD#: 6940
PHILADELPHIA, PA
Past
May 11, 1998 - May 19, 2000
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
June 30, 1997 - September 29, 1997
GLOBAL EQUITIES GROUP INC
BD
CRD#: 34039
NEW YORK, NY
Past
November 26, 1996 - June 9, 1997
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
April 25, 1996 - October 22, 1996
FIRST METROPOLITAN SECURITIES, INC.
BD
CRD#: 7594
NEW YORK, NY
Past
December 21, 1995 - April 25, 1996
STATE CAPITAL MARKETS CORPORATION
BD
CRD#: 13685
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
Alabama(3/9/2017)
RR
Arizona(1/31/2018)
RR
California(3/9/2017)
RR
Connecticut(9/7/2023)
RR
Delaware(3/9/2017)
RR
District of Columbia(3/9/2017)
RR
Florida(3/9/2017)
RR
Georgia(1/3/2020)
RR
Maryland(3/9/2017)
RR
Massachusetts(3/9/2017)
RR
Michigan(3/9/2017)
RR
Nevada(1/3/2020)
RR
New Jersey(3/9/2017)
IAR
New Jersey(3/13/2017)
RR
New York(3/9/2017)
RR
North Carolina(3/9/2017)
RR
Ohio(3/9/2017)
RR
Oregon(3/9/2017)
RR
Pennsylvania(3/9/2017)
RR
South Carolina(3/9/2017)
RR
Tennessee(3/9/2017)
RR
Texas(3/9/2017)
RR
Vermont(3/9/2017)
RR
Virginia(1/6/2020)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169Toms River, NJ 08753TRUST BUT VERIFY
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