MH
Malcolm J. Huckaby
CAPITOL SECURITIES MANAGEMENT
Bristol, CT
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CRD#: 4735117
MH
Professional summary
Malcolm Job Huckaby, who also goes by Malcolm Huckaby, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Bristol, Connecticut.
Malcolm is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Malcolm has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Malcolm Huckaby
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.
Name of Business: ESPN College Basketball Analyst Investment-related: No Address: ESPN Bristol CT 06010 ESPN Drive/Plaza Nature of the other business: Color analyst for college basketball games that are broadcast on ESPN Networks Position, title, or relationship with the other business: College Basketball Color Analyst Start date: 11/01/2010 Approx number of hours/month you devote to the other business: Weekends Approx number of hours/month you devote to the other business during securities trading hours: 0 Describe your duties relating to the other business: Provide color commentary for college basketball viewers
CRS (Client Relationship Summary) - RIA
Click below to view Malcolm Job Huckaby's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Malcolm Job Huckaby'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
August 21, 2012 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
RIA
BD
CRD#: 14169
Bristol, CT
Current
July 18, 2012 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 601 South Harbour Island Blvd Suite 109, Tampa, FL 33602RIA
BD
CRD#: 14169
Tampa, FL
Past
July 2, 2012 - July 18, 2012
CAPITOL SECURITIES & ASSOCIATES, INC.
BD
CRD#: 7278
BOSTON, MA
Past
October 23, 2009 - July 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BURLINGTON, MA
Past
October 23, 2009 - July 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BURLINGTON, MA
Past
April 30, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
BOSTON, MA
Past
April 3, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
May 17, 2004 - April 2, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOSTON, MA
Past
February 4, 2004 - April 2, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
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
Connecticut(7/18/2012)
RR
Massachusetts(7/18/2012)
IAR
Massachusetts(8/21/2012)
Exams
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.
