Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Carmine Cioffi Jr. is a financial advisor with Capitol Securities Management, Inc. Richard has been in the financial industry since 1997. Richard has worked with several firms including RBC Capital Markets, LLC, Wells Fargo Advisors, LLC, and Merrill Lynch. Richard is licensed to offer securities and investment advisory services in several states. Richard specializes in working with individuals, trusts, estates, high-net-worth individuals, corporations, and pension plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NJ
03/13/2017 - Present
Capitol Securities Management, Inc. (Toms River NJ)
NJ
04/09/2013 - 03/22/2017
RBC CAPITAL MARKETS, LLC (RED BANK NJ)
NJ
02/06/2009 - 04/10/2013
WELLS FARGO ADVISORS, LLC (TOMS RIVER NJ)
NJ
11/09/2005 - 02/11/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TOMS RIVER NJ)
MN
06/21/2004 - 10/07/2005
PRIMEVEST FINANCIAL SERVICES, INC. (ST. CLOUD MN)
NY
09/16/2002 - 09/29/2003
BNY INVESTMENT CENTER INC. (NEW YORK NY)
VA
06/28/2002 - 08/26/2002
CAPITOL SECURITIES MANAGEMENT, INC. (GLEN ALLEN VA)
PA
05/19/2000 - 05/09/2002
COMMERCE CAPITAL MARKETS, INC. (PHILADELPHIA PA)
MA
05/11/1998 - 05/19/2000
SIGNATOR INVESTORS, INC. (BOSTON MA)
NY
06/30/1997 - 09/29/1997
GLOBAL EQUITIES GROUP INC (NEW YORK NY)
NY
11/26/1996 - 06/09/1997
GKN SECURITIES CORP. (NEW YORK NY)
NY
04/25/1996 - 10/22/1996
FIRST METROPOLITAN SECURITIES, INC. (NEW YORK NY)
NY
12/21/1995 - 04/25/1996
STATE CAPITAL MARKETS CORPORATION (NEW YORK NY)
BOTH
Issued 11/22/2005
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/01/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/08/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/01/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/21/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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