Joseph J. Fumo
CAPITOL SECURITIES MANAGEMENT
Brigantine, NJ
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CRD#: 6010416
Professional summary
Joseph J Fumo, CFP®, who also goes by Joseph J Fumo V, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Brigantine, New Jersey.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Joseph has worked at 2 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph J Fumo V
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.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph J Fumo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph J Fumo'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®
CFP®
Start date: 2015
Experience
Current
April 30, 2021 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #3: 25 Roosevelt Blvd, Marmora, NJ 08223RIA
BD
CRD#: 14169
Brigantine, NJ
Current
April 23, 2021 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 25 Roosevelt Blvd, Marmora, NJ 08223RIA
BD
CRD#: 14169
Marmora, NJ
Past
December 3, 2012 - December 21, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LINWOOD, NJ
Past
July 26, 2012 - December 21, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LINWOOD, 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(10/5/2022)
RR
Connecticut(2/28/2023)
RR
Delaware(6/1/2021)
RR
District of Columbia(10/12/2022)
RR
Florida(5/12/2021)
IAR
Florida(10/18/2024)
RR
Maryland(9/15/2021)
RR
New Jersey(4/30/2021)
IAR
New Jersey(4/30/2021)
RR
New York(9/18/2021)
RR
North Carolina(5/6/2021)
RR
Ohio(8/22/2023)
RR
Pennsylvania(5/28/2021)
RR
South Carolina(6/8/2021)
RR
Texas(10/29/2021)
IAR
Texas(10/29/2021)
RR
Vermont(8/25/2025)
Exams
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.
