Morgan R. Allen

CAPITOL SECURITIES MANAGEMENT

ROCHESTER, NY 14607

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CRD#: 6566064

Professional summary

Morgan R Allen, who also goes by Morgan Renee Allen, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Rochester, New York.

Morgan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Morgan has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7TO and Series 7 exams.

At a Glance

Always Fiduciary

Aliases

Morgan Renee Allen

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.

07/05/2024 Invessent Wealth Management, LLC registered Investment Adviser DBA. Investment Related. Rochester, NY. Investment advisory and financial planning. Wealth Advisor. 160 hours per month; 130 hours per month during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Morgan R Allen'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

July 30, 2026 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 706 East Ave., Rochester, NY 14607

RIA

CRD#: 14169

ROCHESTER, NY

Past

May 19, 2025 - June 17, 2026

BEAU MORGAN ADVISORS

RIA

CRD#: 336355

PITTSFORD, NY

Past

July 5, 2024 - March 25, 2025

STRATOS WEALTH ADVISORS LLC

RIA

CRD#: 283816

Rochester, NY

Past

September 16, 2022 - June 18, 2024

CAPITOL SECURITIES MANAGEMENT, INC.

RIA

CRD#: 14169

ROCHESTER, NY

Past

November 24, 2021 - June 18, 2024

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

ROCHESTER, NY

Past

March 30, 2016 - April 21, 2017

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

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".

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)

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.

Highlighted states indicate IAR registrations

IAR

New York
(7/30/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/16/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/24/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/23/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7TO

Date: 11/17/2021

General Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 3/30/2016

General Securities Representative Examination

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

PREMIUM

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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)

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

Name	Position	CRD#
CS FINANCIAL GROUP INC.	HOLDING COMPANY
HALLBERG, KATHERINE ROSE	CHIEF COMPLIANCE OFFICER	5016264
JIANOS, JOSEPH ARISTOTLE	CHAIRMAN & CEO	1374020
WALLACE, JAMES LOUIS	CHIEF OPERATING OFFICER	2099074
WETHERELL, EDWARD LEE	CHIEF STRATEGY OFFICER	2159349
ZUBOV, IRINA	DIRECTOR OF FINANCE	5166218

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.

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Advisor Monitoring

Firm Stability Insights

Morgan R. Allen

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Morgan R Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

BEAU MORGAN ADVISORS

STRATOS WEALTH ADVISORS LLC

CAPITOL SECURITIES MANAGEMENT, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/16/2022

Series 63

Date: 5/24/2022

SIE

Date: 11/23/2021

Series 7TO

Date: 11/17/2021

Series 7

Date: 3/30/2016

Current Firm

CAPITOL SECURITIES MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CAPITOL SECURITIES MANAGEMENT, INC.

TRUST BUT VERIFY

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