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Norman Marshall

Capitol Securities Management, INC.
46 Years of Experience
Boston, MA
2 DisclosuresBroker
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Norman Marshall is a registered investment advisor at Capitol Securities Management, INC., based in Boston, MA, with 46 years of industry experience. Norman 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

111 State Street, 3rd Floor, Boston, MA, 02109

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History

Regulatory History (2)
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
March 2000
Award / Judgment
Customer Dispute
January 1992
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Norman is court-appointed grantor for several trust accounts. He is also grantor for the Prince Moore Trust.

Employment History
Current Registrations
Capitol Securities Management, INC.
October 2011 - Present · 15 yrs
Capitol Securities Management, INC.Broker
October 2011 - Present · 15 yrs
Previous Registrations
Anderson & Strudwick, Incorporated
April 2005 - November 2011 · 6 yrs 7 mos
A&s Capital Advisors, INC.
October 1994 - April 2005 · 10 yrs 6 mos
Anderson & Strudwick, IncorporatedBroker
May 1981 - November 2011 · 30 yrs 6 mos
Wheat, First Securities, INC.Broker
September 1980 - June 1981 · 9 mos
State Registrations13 states
FLMENCNHNJNYPASCTNTXVAVTWA
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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