James M. Gissy

CAPITAL MANAGEMENT SERVICES

MANCHESTER, MO 63021

Some features on this profile are disabled

CRD#: 871546

Professional summary

James Michael Gissy, who also goes by James Michael Gissy Sr, is a registered financial advisor currently at CAPITAL MANAGEMENT SERVICES, INC. located in Manchester, Missouri.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. James has worked at 13 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Michael Gissy Sr

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.

OWNER OF GISSY GROUP LLC - OFFICE CONDO RENTALS & OWNERSHIP 1 HR PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Gissy'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

October 1, 1995 - Present

CAPITAL MANAGEMENT SERVICES, INC.

Office #1: 410 Sovereign Ct. Suite 14, Manchester, MO 63021

RIA

CRD#: 118260

MANCHESTER, MO

Past

March 5, 2013 - April 12, 2013

USA FINANCIAL SECURITIES LLC

CRD#: 103857

ADA, MI

Past

February 10, 2010 - February 22, 2011

PINNACLE CAPITAL SECURITIES, LLC

CRD#: 106213

LONG BEACH, CA

Past

January 28, 2008 - December 4, 2009

NATIONAL PLANNING CORPORATION

CRD#: 29604

MANCHESTER, MO

Past

May 26, 1998 - December 31, 2007

CUTTER & COMPANY, INC.

CRD#: 22449

MANCHESTER, MO

Past

April 11, 1997 - December 5, 1997

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 11, 1994 - December 31, 1996

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

January 2, 1991 - December 31, 1992

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

April 25, 1989 - October 18, 1989

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

May 29, 1987 - September 1, 1988

M.S. KERNS INVESTMENTS, INC.

CRD#: 17882

Past

May 31, 1986 - April 28, 1987

AMERICAN CAPITAL EQUITIES, INC.

CRD#: 13272

Past

January 20, 1986 - May 15, 1986

I.M. SIMON & CO., INC.

CRD#: 418

Past

November 20, 1981 - February 3, 1986

LEHMAN BROTHERS INC.

CRD#: 7506

Past

September 20, 1979 - December 28, 1981

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

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".

CAPITAL MANAGEMENT SERVICES, INC.

CRD#: 118260 / SEC#: 801-117988

RIA

Registered Investment Advisory firm - (1/21/2020 Approved)

California

Registered Investment Advisory firm - (2/23/2020 Terminated)

Florida

Registered Investment Advisory firm - (1/24/2020 Terminated)

Georgia

Registered Investment Advisory firm - (2/21/2020 Terminated)

Kansas

Registered Investment Advisory firm - (1/24/2020 Terminated)

Missouri

Registered Investment Advisory firm - (1/24/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/24/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Missouri
(10/1/1995)

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

Series 63

Date: 10/10/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/15/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/5/1986

General Securities Principal Examination

Current Firm

CAPITAL MANAGEMENT SERVICES, INC.

CRD#: 118260 / SEC#: 801-117988

RIA

Registered Investment Advisory firm - (1/21/2020 Approved)

California

Registered Investment Advisory firm - (2/23/2020 Terminated)

Florida

Registered Investment Advisory firm - (1/24/2020 Terminated)

Georgia

Registered Investment Advisory firm - (2/21/2020 Terminated)

Kansas

Registered Investment Advisory firm - (1/24/2020 Terminated)

Missouri

Registered Investment Advisory firm - (1/24/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/24/2020 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

410 Sovereign Ct. Suite 13, Manchester, MO 63011

Mailing Address

Phone number

(636) 207-5829

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CMS FORM ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	608
AUM (Assets Under Management)	$ 141,700,000

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Aaron Ungerer

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Frontenac, MO

Dalton Stockton

WELLS FARGO CLEARING SERVICES, LLC

IAR

ST. LOUIS, MO

Michael Etheridge

CORNERSTONE WEALTH MANAGEMENT, LLC

IAR

ST. PETERS, MO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James M. Gissy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Gissy's CRS (Customer Relationship Summary).

Certified licenses

Experience

USA FINANCIAL SECURITIES LLC

PINNACLE CAPITAL SECURITIES, LLC

NATIONAL PLANNING CORPORATION

CUTTER & COMPANY, INC.

OSAIC WEALTH, INC.

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

KEOGLER, MORGAN & COMPANY, INC.

M.S. KERNS INVESTMENTS, INC.

AMERICAN CAPITAL EQUITIES, INC.

I.M. SIMON & CO., INC.

LEHMAN BROTHERS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

CAPITAL MANAGEMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/10/1979

Series 7

Date: 9/15/1979

Series 24

Date: 9/5/1986

Current Firm

CAPITAL MANAGEMENT SERVICES, INC.

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL MANAGEMENT SERVICES, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors