JT
Joshua P. Thomas
CAPITOL SECURITIES MANAGEMENT
Salisbury, MD 21804
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CRD#: 5842545
JT
Professional summary
Joshua Paul Thomas is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Salisbury, Maryland.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Joshua has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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: HAMMOND WEALTH MANAGEMENT, LLC Investment-related: YES Address: 31400 WINTERPLACE PARKWAY, SALISBURY MD 21804 2) Name of Business: JM Property Investments LLC Investment-related: Yes Address: 27273 Patriot Drive Salisbury, MD 21801 Nature of the other business: flip real estate homes/rentals Position, title, or relationship with the other business: Purchaser/Owner of Rental Properties Start date: 01/01/17 Approx # of hours/month you devote to the other business: 1 Approx #of hours/month you devote to the other business during securities trading hours: currently 0 Describe your duties relating to the other business: if opportunity presents itself to purchase a home at a discount then resell. Repairs to update home may be needed. case by case basis 3) Name of Business: Thomas Wealth Management Investment-related: no Address: 27273 Patriot Dr Salisbury, MD 21801 Nature of the other business: LLC created for tax reporting purpose. no business will be marketed under this name Position, title, or relationship with the other business: Sole Member Start date: 9/30/2020 Approx # of hours/month you devote to the other business: 0 Approx #of hours/month you devote to the other business during securities trading hours: 0 Describe your duties relating to the other business: sole member for tax reporting services
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Paul Thomas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joshua Paul Thomas'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
November 25, 2020 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 31400 Winterplace Parkway Suite 100, Salisbury, MD 21804RIA
BD
CRD#: 14169
Salisbury, MD
Current
September 24, 2010 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 31400 Winterplace Parkway Suite 100, Salisbury, MD 21804RIA
BD
CRD#: 14169
Salisbury, MD
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
Arizona(10/12/2021)
RR
Delaware(11/18/2010)
RR
Florida(8/12/2013)
RR
Georgia(8/3/2022)
RR
Maryland(9/28/2010)
IAR
Maryland(11/25/2020)
RR
New Jersey(3/17/2016)
RR
South Carolina(10/16/2024)
RR
Tennessee(7/27/2023)
RR
Utah(3/8/2013)
Exams
State Security Law Exam
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.
Company Information
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169Salisbury, MD 21804TRUST BUT VERIFY
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