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Scott Gerham

Capitol Securities Management, INC.
40 Years of Experience
Melville, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Scott Gerham is a registered investment advisor at Capitol Securities Management, INC., based in Melville, NY, with 40 years of industry experience. Scott is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 3,970 clients with $2.2B in assets under management.

Capitol Securities Management, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
100 advisors
Number of Clients
3,970 clients
Average Client Portfolio
$545K average
Assets Under Management
$2.2B

Fee Structure

Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum advisory fee is 2.0% per year. Fees are negotiable based on account complexity, asset size, and portfolio style.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

201 Old Country Road, Suite 206, Melville, NY, 11747

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 1991
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Scott is a broker for Waterview Business Partners, selling non-security related insurance products since 2010. He dedicates minimal time to this activity.

Employment History
Current Registrations
Capitol Securities Management, INC.
October 2018 - Present · 8 yrs
Capitol Securities Management, INC.
October 2012 - Present · 14 yrs
Capitol Securities Management, INC.Broker
October 2012 - Present · 14 yrs
Previous Registrations
Capitol Securities & Associates, INC.Broker
October 2010 - December 2012 · 2 yrs 2 mos
Westrock Advisors, INC.Broker
August 2002 - October 2010 · 8 yrs 2 mos
Weatherly Securities CorporationBroker
February 1994 - September 2002 · 8 yrs 7 mos
Oppenheimer & CO., INC.Broker
January 1987 - March 1994 · 7 yrs 2 mos
Rooney, Pace INC.Broker
November 1985 - February 1987 · 1 yr 3 mos
State Registrations8 states
CAFLNJNYPASCVAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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