Chief Operating Officer · Capitol Securities Management, Inc.
James Louis Wallace
CRD 2099074 · Named on Form ADV at one SEC-registered adviser
At a glance
Capitol Securities Management, Inc., an SEC-registered broker-dealer firm based in Glen Allen, VA with $2.2 billion in regulatory assets, lists James Louis Wallace on its Form ADV as Chief Operating Officer.
Firms and roles
- Capitol Securities Management, Inc.Chief Operating OfficerBroker-dealer firm · Glen Allen, VA · $2.2B in regulatory assets
AtlasMembers
James’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- Locked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2021 (5 years)
- Designations
- None on file
- Exams
- Series 63, Series 65, Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
James’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Joseph Aristotle JianosChairman & CEO, Capitol Securities Management, Inc.
- Katherine Rose HallbergChief Compliance Officer, Capitol Securities Management, Inc.
- Edward Lee WetherellChief Strategy Officer, Capitol Securities Management, Inc.
- Irina ZubovDirector of Finance, Capitol Securities Management, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For James’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.