Chief Compliance Officer · Capitol Securities Management, Inc.
Katherine Rose Hallberg
CRD 5016264 · 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 Katherine Rose Hallberg on its Form ADV as Chief Compliance Officer.
Firms and roles
- Capitol Securities Management, Inc.Chief Compliance OfficerBroker-dealer firm · Glen Allen, VA · $2.2B in regulatory assets
AtlasMembers
Katherine’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
- 2006 (19 years)
- Designations
- None on file
- Exams
- Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Katherine’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
- 1 firmLocked
- 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.
- Edward Lee WetherellChief Strategy Officer, Capitol Securities Management, Inc.
- James Louis WallaceChief Operating 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 Katherine’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.