Robert G. Stein

CAPITOL SECURITIES MANAGEMENT

Narragansett, RI

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CRD#: 869186

Professional summary

Robert Gerald Stein, who also goes by Bob Stein, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Narragansett, Rhode Island.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Robert has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Stein

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: Sock Sales Investment-related: No Address: Nature of the other business: Sell Socks Position, title, or relationship with the other business: No Title Start date: 4/13/19 Approx # of hours/month you devote to the other business: 12-24 hrs weekends Approx #of hours/month you devote to the other business during securities trading hours: 0 Describe your duties relating to the other business: Sell socks "

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Gerald Stein's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Robert Gerald Stein'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 8, 2003 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

RIA

CRD#: 14169

Narragansett, RI

Current

March 20, 2003 - Present

CAPITOL SECURITIES MANAGEMENT, INC.

Office #1: 601 South Harbour Island Blvd Suite 109, Tampa, FL 33602

RIA

CRD#: 14169

Tampa, FL

Past

February 21, 1999 - April 16, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

BOSTON, MA

Past

February 2, 1999 - April 16, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 12, 1988 - January 12, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 6, 1987 - February 12, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

November 1, 1984 - October 1, 1987

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

July 27, 1983 - September 24, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

Past

January 2, 1981 - June 29, 1983

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 31, 1980 - February 12, 1981

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

July 27, 1979 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

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".

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.

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

Rhode Island
(3/20/2003)

IAR

Rhode Island
(4/14/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/21/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/1979

General Securities Representative Examination

SRO Registrations

FINRA

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)

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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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Robert G. Stein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Gerald Stein's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Robert Gerald Stein's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITOL SECURITIES MANAGEMENT, INC.

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

E. F. HUTTON & COMPANY INC

THOMSON MCKINNON SECURITIES INC.

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

Primary Firm SEC Registration

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/2004

Series 63

Date: 8/11/1979

SIE

Date: 10/1/2018

Series 7

Date: 7/21/1979

FINRA

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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