ED
Ernest H. Dimattina
CAPITOL SECURITIES MANAGEMENT
Reston, VA 20190
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CRD#: 835274
ED
Professional summary
Ernest Homer Dimattina is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Reston, Virginia.
Ernest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Ernest has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, PC, Series 53 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Ernest Homer Dimattina's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ernest Homer Dimattina'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
December 16, 1998 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 12100 Sunset Hills Road Suite 100, Reston, VA 20190Office #2: 4400 North Federal Highway St. 210, Boca Raton, FL 33431RIA
BD
CRD#: 14169
Reston, VA
Current
February 28, 1996 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 12100 Sunset Hills Road Suite 100, Reston, VA 20190Office #2: 4400 North Federal Highway St. 210, Boca Raton, FL 33431RIA
BD
CRD#: 14169
Reston, VA
Past
May 22, 2012 - December 18, 2012
CAPITOL SECURITIES & ASSOCIATES, INC.
BD
CRD#: 7278
GLEN ALLEN, VA
Past
April 21, 1988 - February 12, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 3, 1982 - April 7, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
July 16, 1980 - June 16, 1982
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
February 27, 1978 - August 8, 1980
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Past
April 1, 1977 - March 7, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BD
CRD#: 640
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(1/2/2014)
RR
Arkansas(1/2/2014)
RR
California(2/28/1996)
RR
Colorado(2/5/2007)
RR
Connecticut(3/1/1996)
RR
Delaware(1/13/2021)
RR
District of Columbia(3/1/1996)
RR
Florida(3/5/1996)
IAR
Florida(5/7/2015)
RR
Georgia(9/30/2003)
RR
Illinois(3/13/1996)
RR
Maryland(3/6/1996)
RR
Massachusetts(5/5/2015)
RR
Mississippi(1/2/2014)
RR
New Hampshire(3/11/2019)
RR
New Jersey(8/2/2023)
RR
New Mexico(1/2/2014)
RR
New York(3/11/1996)
RR
North Carolina(1/6/2014)
RR
Ohio(2/29/1996)
RR
Pennsylvania(2/28/1996)
RR
South Carolina(1/2/2014)
RR
Texas(3/5/1996)
RR
Virginia(2/29/1996)
IAR
Virginia(12/16/1998)
RR
Washington(5/17/2013)
RR
West Virginia(1/2/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 3/1/1977
AMEX Put and Call ExamPrincipal/Supervisory Exam
Principal/Supervisory 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.
