Marmora, NJ Office
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Capitol Securities Management, Inc.
Multi-team
Firm-wide stats for Capitol Securities Management, Inc.
About
Capitol Securities Management serves individual investors (including high-net-worth clients), institutional and corporate clients, retirement plans, trusts and small businesses, offering portfolio management, comprehensive financial planning, consulting, and both sponsored and third-party wrap fee programs. The firm operates as a full-service retail broker-dealer and registered investment adviser, and clients enter advisory relationships either with CSM or with the custodian under written agreements that describe services and authority.
Investment advice is delivered primarily through the firm’s IAR-managed programs, which can be discretionary or non-discretionary, and through separately managed accounts, model portfolios, and third‑party Money Managers accessed via its clearing custodian. Financial plans are prepared from in-depth client interviews and may be delivered as one-time reports or ongoing monitoring arrangements; CSM also performs due diligence on the custodian’s Money Manager vetting process and oversees implementation through the IAR.
Distinctive features include the firm’s dual role as both a broker-dealer and an investment adviser, its primary clearing relationship with Raymond James (including use of Raymond James-sponsored wrap programs, cash sweep options, securities‑based lending and fully‑paid securities lending arrangements), and revenue-sharing and sponsorship arrangements that the brochure discloses can create conflicts of interest or incentives for certain recommendations. The firm’s regulatory history, disclosed in its ADV, notes prior FINRA, state and SEC actions that resulted in fines, restitution and compliance undertakings related to supervisory and disclosure issues.
Based on Capitol Securities Management, Inc.
Occupation focus
Based on Capitol Securities Management, Inc.
Location
25 Roosevelt Blvd
Marmora NJ 08223
Advisors at this office
3
Advisors at this office
Robert G
Series 66
Marmora, NJ
Capitol Securities Management, Inc.
Robert Green Jr. is a Series 66 licensed financial advisor with 11 years of industry experience. He has worked at Capitol Securities Management, Inc. since 2020 and previously spent six years at Boenning & Scattergood. Capitol Securities Management serves individual, corporate, and charitable clients, including high-net-worth individuals, offering brokerage and investment advisory services along with financial planning, pension consulting, insurance products, and educational seminars. The firm utilizes a variety of investment vehicles and programs, managing assets through separately managed accounts and third-party money managers.
Joseph F
CFP®, Series 66
Marmora, NJ
Capitol Securities Management, Inc.
Joseph Fumo is a CFP® and Series 66-licensed advisor with 13 years of industry experience. He is currently with Capitol Securities Management, Inc. and previously worked at Wells Fargo Clearing. Outside of financial advising, he owns a condominium rental property managed by a third party. Capitol Securities Management serves individual investors, including high-net-worth clients, as well as institutional clients, retirement plans, trusts, and small businesses. The firm provides portfolio management, financial planning, and consulting through both broker-dealer and registered investment adviser platforms.
Richard C
Series 63, Series 65, Series 66
Marmora, NJ
Capitol Securities Management, Inc.
Richard Cioffi is a financial advisor with Capitol Securities Management, Inc. in Marmora, NJ, holding Series 63, 65, and 66 licenses and having 29 years of industry experience. He previously worked at RBC Capital Markets and has served as a baseball coach for a middle school team. Capitol Securities Management serves individual investors, institutional and corporate clients, retirement plans, trusts, and small businesses by providing portfolio management, financial planning, consulting, and wrap fee programs. The firm operates as both a broker-dealer and registered investment adviser, offering advisory services through IAR-managed programs, separately managed accounts, and third-party Money Managers.
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