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TB

Troy C. Baldridge

Some features on this profile are disabled
CRD#: 2976766
TB

Professional summary

Troy Christopher Baldridge was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Troy is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Troy had worked at 9 firms, which includes CAPITOL SECURITIES & ASSOCIATES INC., CAPITOL SECURITIES MANAGEMENT INC., ANDERSON & STRUDWICK INCORPORATED, A&S CAPITAL ADVISORS INC., RBC CAPITAL MARKETS LLC, TUCKER ANTHONY INCORPORATED, BRANCH CABELL & CO. INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.

top-8-questions

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.

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

May 20, 2011 - December 18, 2012

CAPITOL SECURITIES & ASSOCIATES, INC.

BD
CRD#: 7278
GLEN ALLEN, VA
Past

August 17, 2007 - August 17, 2016

CAPITOL SECURITIES MANAGEMENT, INC.

RIA
CRD#: 14169
GLEN ALLEN, VA
Past

August 17, 2007 - August 17, 2016

CAPITOL SECURITIES MANAGEMENT, INC.

BD
CRD#: 14169
GLEN ALLEN, VA
Past

April 4, 2005 - August 20, 2007

ANDERSON & STRUDWICK, INCORPORATED

RIA
CRD#: 48
RICHMOND, VA
Past

August 6, 2002 - April 4, 2005

A&S CAPITAL ADVISORS, INC.

RIA
CRD#: 108827
RICHMOND, VA
Past

July 3, 2002 - August 20, 2007

ANDERSON & STRUDWICK, INCORPORATED

BD
CRD#: 48
RICHMOND, VA
Past

April 30, 2002 - July 18, 2002

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
RICHMOND, VA
Past

March 9, 2002 - July 18, 2002

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

March 28, 2001 - March 9, 2002

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

November 18, 1999 - March 28, 2001

BRANCH, CABELL & CO., INC.

BD
CRD#: 6820
RICHMOND, VA
Past

January 30, 1998 - November 29, 1999

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 30, 1998 - November 29, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/31/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/31/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/17/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/27/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/28/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/24/2005
General Securities Principal Examination

Current Firm

CS
CAPITOL SECURITIES & ASSOCIATES, INC.
CAPITOL SECURITIES & ASSOCIATES, INC. | HAWTHORNE SECURITIES CORPORATION

CRD#: 7278 / SEC#: , 8-21058

BD
Terminated by SEC on 03/05/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 08/05/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CS FINANCIAL GROUP, INC.HOLDING COMPANY
DONLIN, JAMES JCHIEF OPERATING OFFICER2579395
GOFF, LIA BETTENHAUSENCHIEF FINANCIAL OFFICER2508087
HALLBERG, KATHERINE ROSECHIEF COMPLIANCE OFFICER5016264
HAMBY, GEORGE MARKPRESIDENT2257565
JIANOS, JOSEPH ARISTOTLECHAIRMAN & CEO1374020

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CAPITOL SECURITIES & ASSOCIATES, INC.

CRD#: 7278

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