JM
Joseph G. Mauriello
CAPITOL SECURITIES MANAGEMENT
Glastonbury, CT 06033
Some features on this profile are disabled
CRD#: 5354370
JM
Professional summary
Joseph Gilbert Mauriello, who also goes by Joseph G Mauriello, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Glastonbury, Connecticut.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph G Mauriello
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: Bristol Central High School All Sports Booster Club Investment-related: No Address: 480 Wolcott St, Bristol, CT 06010 Nature of the other business: This is organization provides support to high school athletes in the form of purchasing varsity letters, supporting award banquets, and providing college scholarships Position, title, or relationship with the other business: President Start date: 10/1/21 Approx number of hours/month you devote to the other business: 6 Approx number of hours/month you devote to the other business during securities trading hours: 0 Describe your duties relating to the other business: Organize and run monthly meetings and organize volunteers. I do not handle any of the financial interests of the organization. 2) Name of Business: CT River Chamber of Commerce Investment-related: No Address: n/a Nature of OBA: Non-profit organization Position, title, or relationship with OBA: Start date: 6/1/24 Approx # of hours/month you devote to OBA: 3 Approx # of hours/month you devote to OBA during trading hours: 0 Duties: Attend chamber of commerce networking events and meetings 3) Name of Business: Main Street Foundation - Men and Boys Fund Investment-related: No Address: n/a Nature of OBA: Non profit 501C3 Position, title, or relationship with OBA: Advisory board member Start date: 6/6/24 Approx # of hours/month you devote to OBA: 2 Approx # of hours/month you devote to OBA during trading hours: 0 Duties: Monthly meetings and annual fundraising breakfast to help underprivileged boys in my community
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Gilbert Mauriello's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Gilbert Mauriello'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 30, 2021 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 11 Naubuc Ave., Glastonbury, CT 06033RIA
BD
CRD#: 14169
Glastonbury, CT
Current
April 30, 2021 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 11 Naubuc Ave., Glastonbury, CT 06033RIA
BD
CRD#: 14169
Glastonbury, CT
Past
June 2, 2016 - May 11, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
CHESHIRE, CT
Past
May 25, 2016 - May 11, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
CHESHIRE, CT
Past
October 22, 2009 - May 31, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
GLASTONBURY, CT
Past
January 30, 2009 - May 31, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
GLASTONBURY, CT
Past
June 22, 2007 - January 16, 2009
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MIDDLEBURY, CT
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(4/30/2021)
RR
Connecticut(4/30/2021)
IAR
Connecticut(4/30/2021)
RR
Florida(4/30/2021)
RR
Massachusetts(4/30/2021)
RR
Michigan(4/30/2021)
RR
Nevada(7/21/2022)
RR
North Carolina(10/23/2025)
RR
South Carolina(4/30/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
