Bryce W. Smith

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CRD#: 427043

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.

Bryce Weldon Smith was a registered financial professional .

Bryce is a previously registered financial professional and started their career in finance in 1970. Bryce had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7, PC, Series 1, Series 4 and Series 12 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

October 24, 2012 - November 14, 2023

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

GLEN ALLEN, VA

Past

November 1, 2010 - December 18, 2012

CAPITOL SECURITIES & ASSOCIATES, INC.

CRD#: 7278

GLEN ALLEN, VA

Past

October 31, 2006 - October 8, 2010

WESTROCK ADVISORS, INC.

CRD#: 114338

RYE, NY

Past

May 28, 1992 - October 17, 2006

A. G. EDWARDS & SONS, INC.

CRD#: 4

BATON ROUGE, LA

Past

August 23, 1989 - April 2, 1992

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 15, 1988 - August 14, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

December 8, 1972 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

July 24, 1970 - December 29, 1972

F I DUPONT GLORE FORGAN & CO

CRD#: 1000002

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: 9/8/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/1991

General Securities Representative Examination

General Industry/Product Exam

PC

Date: 8/31/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 4/18/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 8/6/1985

Registered Options Principal Examination

Principal/Supervisory Exam

Series 12

Date: 1/29/1979

NYSE Branch Manager 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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Firm Stability Insights

Bryce W. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITOL SECURITIES & ASSOCIATES, INC.

WESTROCK ADVISORS, INC.

A. G. EDWARDS & SONS, INC.

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

F I DUPONT GLORE FORGAN & CO

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/8/1979

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/16/1991

PC

Date: 8/31/1977

Series 1

Date: 4/18/1969

Series 4

Date: 8/6/1985

Series 12

Date: 1/29/1979

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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