Michael T. Miller

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CRD#: 335297

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.

Michael Thomas Miller was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1973. Michael had worked at 15 firms and has passed the Series 63, Series 5, Series 7, Series 1, Series 40 and F04 exams.

Question & Answer

Are you a "fiduciary"?

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

December 15, 2006 - March 19, 2014

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

GAITHERSBURG, MD

Past

November 6, 2002 - December 15, 2006

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

BEAVERCREEK, OH

Past

July 8, 2000 - October 25, 2002

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

May 4, 1994 - July 8, 2000

POLARIS FINANCIAL SERVICES, INC.

CRD#: 14521

CONCORD, NH

Past

December 3, 1990 - April 25, 1994

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

August 14, 1990 - December 6, 1990

WORLD INVEST CORPORATION

CRD#: 17223

DEERFIELD BEACH, FL

Past

May 22, 1990 - August 14, 1990

GLOBAL INVESTOR SECURITIES, INC.

CRD#: 7514

Past

December 15, 1988 - May 24, 1990

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

GLEN ALLEN, VA

Past

October 19, 1988 - December 31, 1988

FIRST CHESAPEAKE SECURITIES CORPORATION

CRD#: 10517

Past

March 29, 1988 - September 23, 1988

FOXHALL GROUP SECURITIES, INC.

CRD#: 19722

Past

May 21, 1982 - November 30, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

February 10, 1981 - May 28, 1982

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

April 16, 1980 - October 19, 1980

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

June 20, 1979 - December 22, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

June 28, 1977 - November 5, 1978

ROTH SECURITIES COMPANY

CRD#: 3230

Past

April 5, 1977 - July 29, 1977

CAPITAL PLACEMENT SERVICE

CRD#: 6927

Past

May 17, 1973 - December 12, 1984

THE I.E.S. MANAGEMENT GROUP, INC.

CRD#: 5256

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

Series 63

Date: 7/18/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/20/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 6/16/1979

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 5/15/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 5/15/1978

Registered Principal Examination

Principal/Supervisory Exam

F04

Date: 4/10/1978

Financial Principal 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)

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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)

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.

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Michael T. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WESTMINSTER FINANCIAL SECURITIES, INC.

OSAIC FS, INC.

POLARIS FINANCIAL SERVICES, INC.

SECURITIES AMERICA, INC.

WORLD INVEST CORPORATION

GLOBAL INVESTOR SECURITIES, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

FIRST CHESAPEAKE SECURITIES CORPORATION

FOXHALL GROUP SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

E. F. HUTTON & COMPANY INC

ROTH SECURITIES COMPANY

CAPITAL PLACEMENT SERVICE

THE I.E.S. MANAGEMENT GROUP, INC.

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/18/1979

Series 5

Date: 10/20/1981

Series 7

Date: 6/16/1979

Series 1

Date: 5/15/1973

Series 40

Date: 5/15/1978

F04

Date: 4/10/1978

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

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