WN
William W. Nease
CAPITOL SECURITIES MANAGEMENT
MARTINSVILLE, VA 24112
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CRD#: 345470
WN
Professional summary
William Wheeler Nease, who also goes by Bill Nease, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Martinsville, Virginia.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. William has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Nease
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.
1) Name of Business: J.H. WADE Insurance.
Investment-related: Yes
Address: 335 E. CHURCH STREET MARTINSVILLE, VA 24112.
Nature of the other business: Sales of Fixed Insurance.
Position, title, or relationship with the other business: Sales
Start date: May 17, 2010.
Approx number of hours/month you devote to the other business: 1
Approx number of hours/month you devote to the other business during securities trading hours: 0
Describe your duties relating to the other business: : Sales of Fixed Insurance.
2) Name of Business: Nease Holding Co. LLC
Investment-related: No
Address: 335 E. CHURCH STREET MARTINSVILLE, VA 24112.
Nature of the other business: business checking account-checks written for day to day operations, employee(s) salary, business expenses, state registrations, E&O annual fee, office supplies etc
Position, title, or relationship with the other business: owner
Start date: 2010
Approx number of hours/month you devote to the other business: 200
Approx number of hours/month you devote to the other business during securities trading hours: 200
Describe your duties relating to the other business:owner/business checking account
CRS (Client Relationship Summary) - RIA
Click below to view William Wheeler Nease's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Wheeler Nease'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 11, 2010 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 335 East Church Street, Martinsville, VA 24112RIA
BD
CRD#: 14169
MARTINSVILLE, VA
Current
May 11, 2010 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 335 East Church Street, Martinsville, VA 24112RIA
BD
CRD#: 14169
MARTINSVILLE, VA
Past
June 20, 2003 - April 22, 2010
SCOTT & STRINGFELLOW, LLC
RIA
CRD#: 6255
MARTINSVILLE, VA
Past
June 16, 2003 - April 22, 2010
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
MARTINSVILLE, VA
Past
October 1, 1999 - June 19, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
December 7, 1990 - June 19, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MARTINSVILLE, VA
Past
March 19, 1984 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
March 11, 1969 - August 12, 1971
ABBOTT, PROCTOR & PAINE,
BD
CRD#: 7
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
Georgia(5/18/2010)
RR
Maine(4/28/2016)
RR
Montana(7/27/2015)
RR
North Carolina(5/18/2010)
RR
South Carolina(5/18/2010)
RR
Virginia(5/11/2010)
IAR
Virginia(5/11/2010)
Exams
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
PC
Date: 9/1/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 3/10/1969
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory 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#: 14169Martinsville, VA 24112TRUST BUT VERIFY
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Contact information
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