RA
Roy Alexander
CAPITOL SECURITIES MANAGEMENT
Springfield, VA 22152
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CRD#: 4313613
RA
Professional summary
Roy Alexander is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Springfield, Virginia.
Roy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Roy has worked at 1 firm and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Name of Business: ROY ALEXANDER, CPA, PC
Investment-related: No
Address: 8134 OLD KEENE MILL ROAD, SUITE 201 SPRINGFIELD,VA 22152
Nature of the other business: accounting and tax preparation services
Position, title, or relationship with the other business: CPA/PFS
Start date: 1/15/1981
Approximate number of hours/month you devote to the other business: 160
Approximate #of hours/month you devote to the other business during securities trading hours: 140
Describe your duties relating to the other business: prepare and review tax returns. review/prepare compiled financial statements using Quickbooks software. Perform income tax planning
2) Name of Business: West Springfield Professional Condo Association (WSPCA)
Investment-related: No
Address: 8134 Old Keene Mill Road Suite 201 Springfield, VA 22152
Nature of the other business: Professional office condominium, 6 individually owned units, Owners consist of medical/dental professionals and other professionals
Position, title, or relationship with the other business: treasurer
Start date: 10/20/2008
Approximate number of hours/month you devote to the other business: Devotes 1 hour per wee
Approximate number of hours/month you devote to the other business during securities trading hours: less than 1
Describe your duties relating to the other business: prepare annual budgets, financial statements and prepare annual tax returns
CRS (Client Relationship Summary) - RIA
Click below to view Roy Alexander's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roy Alexander'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
April 6, 2001 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 8134 Old Keene Mill Road #201, Springfield, VA 22152RIA
BD
CRD#: 14169
Springfield, VA
Current
January 25, 2002 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 8134 Old Keene Mill Road #201, Springfield, VA 22152RIA
BD
CRD#: 14169
Springfield, VA
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
IAR
Virginia(4/6/2001)
RR
Virginia(7/18/2002)
Exams
State Security Law Exam
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
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.
