DK
Douglas J. Knobelauch
CAPITOL SECURITIES MANAGEMENT
RESTON, VA 20190
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CRD#: 2913737
DK
Professional summary
Douglas Jay Knobelauch is a registered financial professional currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Reston, Virginia.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1997. Douglas has worked at 4 firms and has passed the Series 63, SIE and Series 6 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 Douglas Jay Knobelauch'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
May 19, 2025 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: Reston, Va 20190 11710 Plaza America Drive Ste 2000, Reston, VA 20190RIA
BD
CRD#: 14169
RESTON, VA
Past
July 2, 2013 - June 4, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
RESTON, VA
Past
November 15, 2001 - June 28, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
BETHESDA, MD
Past
January 23, 1998 - June 28, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
BETHESDA, MD
Past
July 9, 1997 - January 20, 1998
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
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
California(6/24/2025)
RR
District of Columbia(6/25/2025)
RR
Florida(6/25/2025)
RR
Georgia(6/25/2025)
RR
Maryland(6/26/2025)
RR
Massachusetts(6/25/2025)
RR
New Hampshire(6/30/2025)
RR
New Jersey(6/24/2025)
RR
New York(6/25/2025)
RR
North Carolina(6/24/2025)
RR
Pennsylvania(6/25/2025)
RR
Virginia(5/19/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169Reston, VA 20190TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
