DS
David A. Spiker
CAPITOL SECURITIES MANAGEMENT
Reston, VA 20190
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CRD#: 432149
DS
Professional summary
David Allen Spiker is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Reston, Virginia.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. David has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 24 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: DAVID A SPIKER CHFC Investment-related: YES Address: 12100 Sunset Hills Road Suite 100 RESTON, VA 20190 Nature of the other business: Insurance Brokerage Position, title, or relationship with the other business: OWNER Start date: 3/1986 Approximate number of hours/month you devote to the other business: 1 HOUR PER WEEK Approximate number of hours/month you devote to the other business during securities trading hours: 1 HOUR PER WEEK Describe your duties relating to the other business: INSURANCE BROKERAGE 2) Trust account: Robert Spiker Trust. Trustee on FAMILY account. Relationship of grantor: FATHER 3) Doing Business As: ADVANCED FINANCIAL CONCEPTS Investment-related: Yes Address:12100 Sunset Hills Road Suite 100 RESTON, VA 20190
CRS (Client Relationship Summary) - RIA
Click below to view David Allen Spiker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Allen Spiker'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
June 27, 1994 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 12100 Sunset Hills Road Suite 100, Reston, VA 20190RIA
BD
CRD#: 14169
Reston, VA
Current
March 31, 1986 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 12100 Sunset Hills Road Suite 100, Reston, VA 20190RIA
BD
CRD#: 14169
Reston, VA
Past
October 24, 1986 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
October 24, 1986 - February 28, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 24, 1986 - February 28, 2000
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
May 3, 1974 - April 3, 1986
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
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
Arizona(1/7/2013)
RR
California(2/9/2000)
RR
Colorado(8/9/2018)
RR
Delaware(7/22/2019)
RR
District of Columbia(4/10/1986)
RR
Florida(12/9/1998)
RR
Georgia(1/3/2006)
RR
Kentucky(6/14/2005)
RR
Maine(4/2/2024)
RR
Maryland(3/31/1986)
RR
Massachusetts(6/6/2008)
RR
Mississippi(10/2/2024)
RR
Nevada(11/21/2013)
RR
New Jersey(11/10/2016)
RR
New Mexico(4/27/2006)
RR
New York(1/4/2005)
RR
North Carolina(3/18/2015)
RR
Oregon(7/19/2022)
RR
Pennsylvania(10/23/1998)
RR
South Carolina(7/8/2005)
RR
Texas(9/22/1999)
RR
Virginia(3/31/1986)
IAR
Virginia(6/27/1994)
RR
Washington(2/1/2023)
RR
West Virginia(4/26/2004)
Exams
State Security Law Exam
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
Series 1
Date: 4/30/1974
Registered Representative ExaminationPrincipal/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
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.
