Catherine L. Mewborn

Some features on this profile are disabled

CRD#: 2894240

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Catherine Lang Mewborn, who also goes by Cathy Mewborn, was a registered financial professional .

Catherine is a previously registered financial professional and started their career in finance in 1997. Catherine had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cathy Mewborn

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 19, 2017 - May 15, 2018

CAPITOL SECURITIES MANAGEMENT, INC.

RIA

CRD#: 14169

WILMINGTON, NC

Past

September 20, 2017 - May 15, 2018

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

WILMINGTON, NC

Past

January 21, 2016 - March 21, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

WILMINGTON, NC

Past

March 7, 2013 - January 12, 2016

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

WILMINGTON, NC

Past

March 15, 2010 - January 12, 2016

STONEX SECURITIES INC.

CRD#: 18456

WILMINGTON, NC

Past

March 13, 2009 - May 8, 2009

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

WILMINGTON, NC

Past

March 13, 2009 - May 8, 2009

RBC CAPITAL MARKETS, LLC

CRD#: 31194

WILMINGTON, NC

Past

August 9, 2002 - March 13, 2009

FERRIS, BAKER WATTS, LLC

RIA

CRD#: 285

WILMINGTON, NC

Past

August 5, 2002 - March 13, 2009

FERRIS, BAKER WATTS, LLC

CRD#: 285

WILMINGTON, NC

Past

May 5, 1999 - August 9, 2002

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

August 8, 1997 - August 9, 2002

SCOTT & STRINGFELLOW, LLC

RIA

CRD#: 6255

GREENVILLE, NC

Past

July 17, 1997 - May 5, 1999

SCOTT & STRINGFELLOW, INC.

CRD#: 3309

RICHMOND, VA

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/2/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/24/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/15/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/16/1997

General Securities Representative Examination

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CSM_ADV PART 2A_3.31.2025 (5/30/2025)

CSM ADV PART2A_APPENDIX 1 (WRAP PROGRAM BROCHURE)_3.31.2025 (5/30/2025)

Direct owners and executive officers

Name	Position	CRD#
CS FINANCIAL GROUP INC.	HOLDING COMPANY
HALLBERG, KATHERINE ROSE	CHIEF COMPLIANCE OFFICER	5016264
JIANOS, JOSEPH ARISTOTLE	CHAIRMAN & CEO	1374020
WALLACE, JAMES LOUIS	CHIEF OPERATING OFFICER	2099074
WETHERELL, EDWARD LEE	CHIEF STRATEGY OFFICER	2159349
ZUBOV, IRINA	DIRECTOR OF FINANCE	5166218

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Catherine L. Mewborn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITOL SECURITIES MANAGEMENT, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

INTL ADVISORY CONSULTANTS INC.

STONEX SECURITIES INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

FERRIS, BAKER WATTS, LLC

FERRIS, BAKER WATTS, LLC

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, INC.

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/2013

Series 63

Date: 7/24/1997

SIE

Date: 5/15/2018

Series 31

Date: 1/15/2004

Series 7

Date: 7/16/1997

Current Firm

CAPITOL SECURITIES MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CAPITOL SECURITIES MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors