SK
Stuart J. Knobel
CAPITOL SECURITIES MANAGEMENT
Anderson, SC 29624
Some features on this profile are disabled
CRD#: 272498
SK
Professional summary
Stuart Jay Knobel is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Anderson, South Carolina.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Stuart has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1, Series 9, Series 10, Series 8, F04 and Series 40 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.
Doing Business As: Knobel Investments
Investment-related: Yes
Address: 114 East Benson Anderson, SC 29624
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Jay Knobel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stuart Jay Knobel'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
January 25, 2019 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 114 East Benson, Anderson, SC 29624RIA
BD
CRD#: 14169
Anderson, SC
Current
January 25, 2019 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 114 East Benson, Anderson, SC 29624RIA
BD
CRD#: 14169
Anderson, SC
Past
March 13, 2009 - January 30, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
ANDERSON, SC
Past
February 26, 2009 - January 30, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ANDERSON, SC
Past
May 20, 2003 - March 23, 2009
SCOTT & STRINGFELLOW, LLC
RIA
CRD#: 6255
GREENVILLE, SC
Past
March 7, 2001 - March 23, 2009
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
GREENVILLE, SC
Past
September 22, 1982 - March 7, 2001
EDGAR M. NORRIS & CO., INC.
BD
CRD#: 2928
GREENSVILLE, SC
Past
January 9, 1978 - May 11, 1982
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
Past
December 12, 1972 - April 14, 1978
KLUGH & COMPANY, INC.
BD
CRD#: 492
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
Florida(1/25/2019)
RR
Georgia(1/25/2019)
RR
North Carolina(11/4/2025)
RR
Ohio(1/25/2019)
RR
South Carolina(1/25/2019)
IAR
South Carolina(1/25/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 12/6/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/22/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
RR
F04
Date: 6/22/1977
Financial Principal ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 6/22/1977
Registered 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)
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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.
