DB
Donald B. Brown
CAPITOL SECURITIES MANAGEMENT
Rochester, NY 14607
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CRD#: 4939640
DB
Professional summary
Donald B Brown JR, who also goes by Donald B. Brown, Donald Brown, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Rochester, New York.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Donald has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Donald B. Brown | Donald Brown
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: Insurance Brokerage Agencies
Investment-related: Yes
Address: 36 West Main Street Ste 700 Rochester, NY. 585.451.5064.
Nature of the other business: Marketing and sale of fixed life insurance.
Position, title, or relationship with the other business: Agent
Start date: Ongoing since 2007
Approximate number of hours/month you devote to the other business: 6
Approximate # of hours/month you devote to the other business during securities trading hours: 0
Describe your duties relating to the other business: Licensed marketing and sale of fixed life insurance products.
2) Doing Business As: Rochester Wealth Management
Investment-related: Yes
Address: 706 EAST AVE ROCHESTER NY, 14607
3) Name of Business: Global Life of NY
Investment-related: Yes
Address: 1020 7th North Street Suite 130 Liverpool, NY. 13088.
Nature of the other business: Marketing & Sales of Medicare Supplement Insurance.
Position, title, or relationship with the other business: Agent
Start date: Will begin activity 10/15/14
Approximate number of hours/month you devote to the other business: 5-10
Approximate # of hours/month you devote to the other business during securities trading hours: 2
Describe your duties relating to the other business: Meeting with Medicare Participants regarding supplement policies available and selling supplemental coverage
CRS (Client Relationship Summary) - RIA
Click below to view Donald B Brown JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Donald B Brown JR'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
January 15, 2015 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 706 East Ave., Rochester, NY 14607RIA
BD
CRD#: 14169
Rochester, NY
Current
May 28, 2013 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 706 East Ave., Rochester, NY 14607RIA
BD
CRD#: 14169
Rochester, NY
Past
June 4, 2012 - May 14, 2013
M&T SECURITIES, INC.
BD
CRD#: 17358
ROCHESTER, NY
Past
October 5, 2009 - February 14, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
SPENCERPORT, NY
Past
October 5, 2006 - September 30, 2009
NEW ENGLAND SECURITIES
BD
CRD#: 615
PITTSFORD, NY
Past
May 30, 2005 - June 22, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
California(6/6/2013)
RR
Florida(6/25/2020)
RR
Massachusetts(1/6/2025)
RR
Michigan(3/11/2025)
RR
New York(5/28/2013)
IAR
New York(10/28/2021)
RR
South Carolina(5/28/2013)
RR
Virginia(5/18/2017)
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
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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#: 14169Rochester, NY 14607TRUST BUT VERIFY
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