Rochester, NY East Ave. 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
706 East Ave.
Rochester NY 14607
Advisors at this office
4
Advisors at this office
Jeffrey B
Series 63, Series 65
Rochester, NY
Capitol Securities Management, Inc.
Jeffrey Briggs is a financial advisor with Capitol Securities Management, Inc. in Rochester, NY, holding Series 63 and Series 65 licenses and bringing 40 years of industry experience. He has been with Capitol Securities since 2006. Outside of his advisory role, he is a co-founder of a nonprofit organization focused on local school board issues. Capitol Securities Management serves individual, corporate, and charitable clients by providing brokerage and investment advisory services, comprehensive financial planning, and pension consulting. The firm utilizes a variety of investment vehicles and offers access to wrap fee programs and third-party money managers.
Morgan A
Series 63, Series 65
Rochester, NY
Capitol Securities Management, Inc.
Morgan Allen is a financial advisor with Capitol Securities Management, Inc. in Rochester, NY, holding Series 63 and Series 65 credentials and five years of industry experience. He has worked at multiple firms including Beau Morgan Advisors, Invessent, Stratos Wealth Advisors, USAA Financial Advisors, and Charles Schwab & Co. Allen has also been involved with Invessent Wealth Management, LLC in a wealth advisory capacity. Capitol Securities Management serves individual investors, institutional clients, retirement plans, trusts, and small businesses by providing portfolio management, financial planning, and consulting services. The firm operates as both a broker-dealer and registered investment adviser, delivering investment advice through IAR-managed programs, separately managed accounts, model portfolios, and third-party Money Managers.
Donald B
Series 66
Rochester, NY
Capitol Securities Management, Inc.
Donald Brown Jr. is a financial advisor at Capitol Securities Management, Inc. in Rochester, NY, holding a Series 66 designation with 20 years of industry experience. He has been involved with Capitol Securities Management, Rochester Wealth Management, and Global Life of NY since 2013 or earlier. Outside of advisory work, he is an agent marketing and selling fixed life insurance and Medicare supplement insurance. Capitol Securities Management serves individual, corporate, and charitable clients, offering brokerage and advisory services alongside financial planning, pension consulting, and insurance products. The firm manages assets through various programs and employs a network of investment adviser representatives who develop client-specific investment policies.
Georgios M
Series 66, Series 65
Rochester, NY
Capitol Securities Management, Inc.
Georgios Manou is a financial advisor with Capitol Securities Management, Inc. in Rochester, NY, holding Series 66 and Series 65 credentials and bringing 26 years of industry experience. He has been with Capitol Securities since 2006 and has also worked at Bianchi and Associates since 2022, where he assists with income tax and accounting data entry. Outside of advisory work, he was involved with Delta House Restaurant for 17 years. Capitol Securities Management serves individual, institutional, and corporate clients with portfolio management, financial planning, and consulting services. The firm operates as both a broker-dealer and registered investment adviser, offering client relationships through various investment programs and separately managed accounts.
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