WK
William A. Korn
CAPITOL SECURITIES MANAGEMENT
Sarasota, FL
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CRD#: 848586
WK
Professional summary
William Allan Korn, CFP® is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Sarasota, Florida.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. William has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 24 and Series 39 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.
"Name of Business: Grow Mongolia Inc. Investment-related: yes Address: 5550 Columbia Pike Apt 745 Arlington, VA 22204 Nature of OBA: Transform the Mongolian People into a Christ-Centered Nation through the Power of the Holy Spirit Position, title, or relationship with OBA: Interim Chairman of Board & Treasurer Start date: 9.16.21 Approx # of hours/month you devote to OBA: 10-12 Approx # of hours/month you devote to OBA during trading hours: 0-2 Duties: Leadership - Develop plan to accomplish the vision "
CRS (Client Relationship Summary) - RIA
Click below to view William Allan Korn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Allan Korn'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®
Experience
Current
March 24, 1992 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
RIA
BD
CRD#: 14169
Sarasota, FL
Current
October 10, 1989 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 4050 Innslake Drive Suite 250, Glen Allen, VA 23060RIA
BD
CRD#: 14169
Glen Allen, VA
Past
November 19, 1985 - October 4, 1989
HERITAGE FINANCIAL INVESTMENTS CORPORATION
BD
CRD#: 15767
Past
July 1, 1983 - November 14, 1985
FIRST CHESAPEAKE SECURITIES CORPORATION
BD
CRD#: 10517
Past
March 21, 1978 - July 11, 1983
LINSCO FINANCIAL GROUP, INC.
BD
CRD#: 524
Past
February 2, 1978 - March 13, 1978
ENTERPRISE FUND DISTRIBUTORS, INC.
BD
CRD#: 883
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
Alabama(9/5/2007)
RR
Alaska(1/2/2003)
RR
Arizona(3/5/1999)
RR
Arkansas(9/3/2009)
RR
California(2/27/1998)
RR
Colorado(11/4/2024)
RR
Connecticut(9/17/2019)
RR
Delaware(2/10/1995)
RR
District of Columbia(11/9/1989)
RR
Florida(2/12/1990)
IAR
Florida(4/1/2025)
RR
Georgia(2/2/1999)
RR
Illinois(5/15/2012)
RR
Indiana(12/2/1997)
IAR
Indiana(6/5/2025)
RR
Iowa(1/7/2010)
RR
Kentucky(1/9/2014)
RR
Maryland(10/12/1989)
RR
Massachusetts(6/27/1997)
RR
Minnesota(5/20/2010)
RR
Mississippi(1/2/2014)
RR
Missouri(2/25/2025)
RR
Montana(11/13/1997)
RR
Nevada(2/2/1999)
RR
New Hampshire(3/11/2019)
RR
New Jersey(3/10/1993)
RR
New Mexico(9/5/1997)
RR
New York(10/4/1993)
RR
North Carolina(1/8/1990)
RR
Ohio(1/2/2014)
RR
Pennsylvania(1/17/1997)
RR
South Carolina(2/4/1999)
RR
Texas(8/3/1994)
IAR
Texas(8/19/2025)
RR
Virginia(10/12/1989)
IAR
Virginia(10/2/1992)
RR
Washington(3/15/1994)
RR
West Virginia(1/16/1997)
RR
Wisconsin(10/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 1/31/1978
Registered Representative ExaminationPrincipal/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.
