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Alan Sharpe

Capitol Securities Management, INC.
35 Years of Experience
Woburn, MA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Alan Sharpe is a registered investment advisor at Capitol Securities Management, INC., based in Woburn, MA, with 35 years of industry experience. Alan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 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

CSM charges a percentage of your portfolio each year for investment advisory advice. The maximum advisory fee is 2.0% per year. The fee is paid in advance, on a quarterly or monthly basis. The amount you pay will reduce any money you make on your investments. CSM also offers wrap fee programs where the fee includes investment advisory services and brokerage execution costs. The maximum wrap fee is 2.0% per year.

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Location

1CA57 400 Trade Center, Suite 5900, Woburn, MA, 01801

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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
June 2017
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Alan operates under the name AL Sharpe Financial LLC. The filing does not provide enough information to determine if this activity is investment-related or if it involves insurance sales.

Employment History
Current Registrations
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
December 2019 - October 2023 · 3 yrs 10 mos
Moors & Cabot, INC.Broker
March 2016 - December 2019 · 3 yrs 9 mos
Moors & Cabot, INC
March 2016 - December 2019 · 3 yrs 9 mos
RBC Capital Markets, LLC
September 2009 - March 2016 · 6 yrs 6 mos
RBC Capital Markets, LLCBroker
May 2009 - March 2016 · 6 yrs 10 mos
Wells Fargo Advisors, LLCBroker
July 2003 - May 2009 · 5 yrs 10 mos
Prudential Securities IncorporatedBroker
May 2001 - July 2003 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
November 1995 - May 2001 · 5 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1990 - November 1995 · 5 yrs 4 mos
State Registrations13 states
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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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