AG
Arthur T. Grutt
CAPITOL SECURITIES MANAGEMENT
Morristown, NJ 07960
Some features on this profile are disabled
CRD#: 5194116
AG
Professional summary
Arthur T Grutt JR., who also goes by Arthur T Grutt, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Morristown, New Jersey.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Arthur has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Arthur T Grutt
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: Cambridge Life Brokerage (DBA: Cambridge Insurance Advisors)
Investment-related: Yes
Address: 875 Avenue of the Americas Suite 801 New York, NY 10001
Nature of the other business: Employee benefits brokerage providing health, dental, life, vision and disability insurance to mid-market employers. Also individual life and disability brokerage
Position, title, or relationship with the other business: President
Start date: ongoing since 2006
Approx number of hours/month you devote to the other business: 200
Approx number of hours/month you devote to the other business during securities trading hours: 40
Describe your duties relating to the other business: running sales, managing client relationships, managing operations of 15 employees
CRS (Client Relationship Summary) - RIA
Click below to view Arthur T Grutt JR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arthur T Grutt 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
March 6, 2019 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 89 Headquarters Plaza North Suite 1430, Morristown, NJ 07960RIA
BD
CRD#: 14169
Morristown, NJ
Current
February 11, 2019 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 89 Headquarters Plaza North Suite 1430, Morristown, NJ 07960RIA
BD
CRD#: 14169
Morristown, NJ
Past
July 30, 2013 - April 25, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
PURCHASE, NY
Past
July 17, 2013 - April 25, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
PURCHASE, NY
Past
May 19, 2008 - March 28, 2013
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
November 10, 2006 - March 28, 2013
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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
New Jersey(2/11/2019)
IAR
New Jersey(3/6/2019)
RR
New York(2/11/2019)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
