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William Stewart

Capitol Securities Management, INC.
39 Years of Experience
Salem, MA
1 DisclosureBroker
View SEC Summary
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William Stewart is a registered investment advisor at Capitol Securities Management, INC., based in Salem, MA, with 39 years of industry experience. William 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
—
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Location

Salem, MA

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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
January 1989
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Capitol Securities Management, INC.
November 2023 - Present · 2 yrs 11 mos
Capitol Securities Management, INC.
October 2023 - Present · 3 yrs
Capitol Securities Management, INC.Broker
October 2023 - Present · 3 yrs
Previous Registrations
Arthur Wood Investment Advisors CORP
December 2020 - October 2023 · 2 yrs 10 mos
Wood (arthur W.) Company, INC.Broker
September 2009 - October 2023 · 14 yrs 1 mo
Janney Montgomery Scott LLC
September 2007 - October 2009 · 2 yrs 1 mo
Janney Montgomery Scott LLCBroker
June 2000 - October 2009 · 9 yrs 4 mos
First Albany CorporationBroker
November 1995 - June 2000 · 4 yrs 7 mos
Lehman Brothers INC.Broker
September 1987 - October 1995 · 8 yrs 1 mo
State Registrations18 states
CACOCTFLMAMEMINCNHNJNYOHPARISCVAVTWI
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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