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Robert Stein

Capitol Securities Management, INC.
46 Years of Experience
Tampa, FL
6 DisclosuresBroker
View SEC Summary
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Robert Stein is a registered investment advisor at Capitol Securities Management, INC., based in Tampa, FL, with 46 years of industry experience. Robert operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 3,745 clients with $1.8B in assets under management.

Capitol Securities Management, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
103 advisors
Number of Clients
3,745 clients
Average Client Portfolio
$486K average
Assets Under Management
$1.8B

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

601 South Harbour Island Blvd, Suite 109, Tampa, FL, 33602

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History

Regulatory History (6)
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.
Regulatory
February 2016
Final
Customer Dispute
June 2012
Settled
Customer Dispute
January 2011
Settled
Customer Dispute
February 2004
Withdrawn
Customer Dispute
August 1994
Settled
Employment Separation After Allegations
June 1983
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Robert sells socks, dedicating about 10-20% of his time, primarily on weekends. This activity is not investment-related.

Employment History
Current Registrations
Capitol Securities Management, INC.
July 2003 - Present · 22 yrs 10 mos
Capitol Securities Management, INC.
March 2003 - Present · 23 yrs 2 mos
Capitol Securities Management, INC.Broker
March 2003 - Present · 23 yrs 2 mos
Previous Registrations
Prudential Securities Incorporated
February 1999 - April 2003 · 4 yrs 2 mos
Prudential Securities IncorporatedBroker
February 1999 - April 2003 · 4 yrs 2 mos
Dean Witter Reynolds INC.Broker
February 1988 - January 1999 · 10 yrs 11 mos
E. F. Hutton & Company INCBroker
November 1987 - February 1988 · 3 mos
Thomson Mckinnon Securities INC.Broker
November 1984 - October 1987 · 2 yrs 11 mos
Dean Witter Reynolds INC.Broker
July 1983 - September 1984 · 1 yr 2 mos
Shearson/american Express INC.Broker
January 1981 - June 1983 · 2 yrs 5 mos
Paine, Webber, Jackson & Curtis INC.Broker
January 1980 - February 1981 · 1 yr 1 mo
Paine, Webber, Jackson & Curtis IncorporatedBroker
July 1979 - January 1980 · 6 mos
State Registrations1 state
RI
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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