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SG

Stephanie W. Guanzini

CAPITOL SECURITIES MANAGEMENT
Wilmington, NC 28403
Some features on this profile are disabled
CRD#: 5664075
SG

Professional summary

Stephanie Williams Guanzini, who also goes by Stephanie Williams Allen, Stephanie Lee Guanzini, Stephanie Lee Williams, Stephanie Williams, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Wilmington, North Carolina.

Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Stephanie has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Stephanie Williams Allen | Stephanie Lee Guanzini | Stephanie Lee Williams | Stephanie Williams

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Williams Guanzini's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Stephanie Williams Guanzini's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 28, 2025 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 1900 Eastwood Road, Unit 5, Wilmington, NC 28403
RIA
BD
CRD#: 14169
Wilmington, NC
Current

October 28, 2025 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 1900 Eastwood Road, Unit 5, Wilmington, NC 28403
RIA
BD
CRD#: 14169
Wilmington, NC
Past

July 19, 2022 - September 30, 2025

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA
CRD#: 44430
Wilmington, NC
Past

July 19, 2022 - September 30, 2025

FIRST CITIZENS INVESTOR SERVICES, INC.

BD
CRD#: 44430
Wilmington, NC
Past

November 15, 2013 - July 25, 2022

OSAIC FS, INC.

RIA
CRD#: 3870
WILMINGTON, NC
Past

November 15, 2013 - July 25, 2022

OSAIC FS, INC.

BD
CRD#: 3870
WILMINGTON, NC
Past

December 2, 2011 - November 22, 2013

LPL FINANCIAL LLC

RIA
CRD#: 6413
MOREHEAD CITY, NC
Past

December 2, 2011 - November 22, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
MOREHEAD CITY, NC
Past

July 7, 2009 - December 5, 2011

EDWARD JONES

RIA
CRD#: 250
WILMINGTON, NC
Past

June 25, 2009 - December 5, 2011

EDWARD JONES

BD
CRD#: 250
WILMINGTON, NC

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
Georgia
(2/6/2026)
IAR
North Carolina
(10/28/2025)
RR
North Carolina
(11/13/2025)
RR
Virginia
(1/22/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/4/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/22/2009
General Securities Representative Examination
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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CSM_ADV PART 2A_3.31.2025 (5/30/2025)
CSM ADV PART2A_APPENDIX 1 (WRAP PROGRAM BROCHURE)_3.31.2025 (5/30/2025)

Direct owners and executive officers

NamePositionCRD#
CS FINANCIAL GROUP INC.HOLDING COMPANY
HALLBERG, KATHERINE ROSECHIEF COMPLIANCE OFFICER5016264
JIANOS, JOSEPH ARISTOTLECHAIRMAN & CEO1374020
WALLACE, JAMES LOUISCHIEF OPERATING OFFICER2099074
WETHERELL, EDWARD LEECHIEF STRATEGY OFFICER2159349
ZUBOV, IRINADIRECTOR OF FINANCE5166218

Regulatory assets under management

Total Number of Accounts3,745
AUM (Assets Under Management)$ 1,818,741,357

Disclosures

Regulatory Event10
Arbitration2

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.

Company Information

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169Wilmington, NC 28403

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