FAQs

Traditional advantage.

Below, you’ll find answers to many common questions about Capitol Securities Management, Inc. and our Traditional Advantage program for financial advisors. For more in depth information, please contact us.

What is your payout?

The Capitol Securities Management payout is extremely competitive and at the top of our industry. See our How We Stack Up Against the Competition page for details. Additionally, Capitol Securities offers a number of other benefits.

What are the transaction costs?

Transaction costs, or ticket charges, vary depending on the type of business being executed. Please see our Revenue Sharing Schedule to learn more about specific charges. Note that clearing fees are not assessed on business done on a direct basis.

How often are commissions paid?

Capitol Securities pays commissions monthly; you will be paid on the 15th of the following month for any commission funds we receive by the end of each calendar month.

Who is Capitol Securities’ clearing firm?

For custody and clearing services, we utilize Raymond James Financial, Inc, representing $730 billion in global client assets. You can more about our clearing firm here.

Can you tell me about your approach to compliance?

At Capitol Securities Management, compliance is a top priority. Our Corporate Compliance Team is always available to consult with or counsel you should any questions arise. It is our goal to help protect and preserve your practice so you can focus on doing business with your clients. In addition to our open-door policy, we will provide on-going supervision as well as policies and procedure manuals that detail your responsibilities. Also, you will receive periodic updates, training and memoranda to keep you abreast of any pertinent changes to your business. For your convenience, and easy access and review, Capitol Securities also makes this information available to advisors via our secure intranet.

Can Capitol Securities Management compete with my current firm’s technology?

We recognize that for advisors to effectively do their jobs, keep up with innovation and build a successful practice, the right tools and support, are critical. Our technology rivals the industry’s largest firms. You will have every tool you need to manage—and scale—your entire book of business.

Does Capitol Securities Management host an annual holiday party and shareholders’ meeting?

Capitol Securities hosts an annual holiday party and shareholders’ meeting for all shareholders and Capitol Securities Management employees. The location changes each year, but attendance is always complimentary for advisors who meet a certain production level. Such events are not only an opportunity to show appreciation to our team, they are also often the catalyst for building and strengthening relationships across our organization, contributing to our ongoing productivity, and fostering a spirit of collaboration amongst our financial advisors and staff.

Do you have an awards conference for top producers?

Yes, Capitol Securities Management holds an annual top producer conference for those advisors who qualify. The location changes each year, but the schedule is always loaded with opportunities for recognition, networking, fellowship, entertainment, and industry insights.

Does Capitol Securities impose production requirements?

At Capitol Securities Management, we view each financial advisor as an individual, recognizing that your client portfolio is unique. We will analyze your practice and work with you to design a business plan that will best serve you and your clients. No matter your production level, you will always receive our high standard of personalized care, attention and service.

Does Capitol Securities impose sales quotas or push proprietary products?

At Capitol Securities Management, you have the freedom and flexibility to offer the products and services that best serve your clients’ needs. We have no proprietary products and you will never be asked to meet a firm-imposed sales quota.

What is Capitol Securities’ transition process?

We work hand-in-hand with our financial advisors throughout the transition process. We know that other firms can place the onus on the financial advisor and that the process can drag out for months; in contrast, we work alongside you, using the simplified process we’ve created. It’s always our goal to make the transition process as smooth and streamlined as possible.

How long will it take to transfer my license?

Provided your disciplinary history is clear, the Licensing Specialists in our corporate office will be able to transfer your license immediately upon receipt of your updated U-4 Form and any applicable registration fees. Our Licensing Specialists will keep you apprised as your approval process is completed in the state(s) where you conduct business.

How long will it take to transfer my clients?

The account transfer process begins with the completion of two forms: a New Account form and an ACAT (Automated Client Account Transfer) form. Your client’s signature is required to authorize the transfer of securities. Once the completed and signed documents have been delivered to Capitol Securities Management, account processing and electronic transfer typically take no more than five business days to complete.

Will Capitol Securities support my marketing efforts and business goals?

At Capitol Securities, our greatest asset is you. Therefore it’s always our goals to support you in every area of your practice. We will give you access to top-notch marketing resources, tools and ideas for you to grow your practice. Read how we’ve supported some of our advisors’ marketing efforts in the past.

Can I work out of my home office, or do you provide office space?

You are welcome to work out of your home, or if you prefer, we can work together to find an office near you.

What are your Health Insurance Benefits?

Yes. Partnering with our preferred provider we offer a choice of major medical plans (Traditional, PPO, HMO), as well as prescription drug, vision and dental care plans. For more information, visit our Compensation and Benefits page.

Have another question? Send it to us. We’ll get back to you with an answer.

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