Our Strength and Security

The best of both worlds.

A Firm Foundation.

The decision to make Capitol Securities your partner in developing your portfolio—and your future—is a solid one. Since 1985, we have been helping clients achieve their goals. Through our partnership with Raymond James Financial, Inc., we are able to bring you the personal touch of a regional firm combined with the strength and stability of a global financial services provider. You can rest assured that your account is protected.

Industry Affiliations.

Capitol Securities Management is registered with the Securities and Exchange Commission (SEC). We are also members of the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), and the Securities Investor Protection Corporation (SIPC).

Solid Account Protections.

Capitol Securities is connected to all securities exchanges through our clearing firm, Raymond James Financial, Inc.

Raymond James Financial, Inc. has been a leading global provider of financial business solutions for 56 years, serving many of the world’s most respected financial organizations. The company remains committed to the safekeeping, servicing, segregation and reporting of our global client assets.

Raymond James Financial, Inc.: Over $730 billion in global client assets

Raymond James Financial, Inc.’s core financial strength provides the foremost measure of protection for its global client assets.Raymond James Financial, Inc.’s financial strength does not protect against loss due to market fluctuation.

Evaluation and Segregation of Assets.

As required, Raymond James segregates clients’ fully paid-for assets from its own to ensure the return of client assets in the unlikely event of the financial failure of Raymond James.

Protection of Assets.

Both Capitol Securities Management and Raymond James Financial, Inc. are members of the  Securities Investor Protection Corporation® (SIPC®). SIPC® is a non-profit organization established by Congress to ensure client accounts against the failure of member brokerage firms. For more information, visit the SIPC® website or call 202-371-8300.

As a result, securities in your account are protected up to $500,000 (including $250,000 for claims for cash awaiting reinvestment).

You can find additional detail about the financial strength of Raymond James Financial, Inc and the protection of assets held in our custody at Raymond James Financial, Inc.

Excess of SIPC Coverage Led by Lloyd’s.

In addition to SIPC protection, Raymond James also provides coverage in excess of SIPC limits via certain underwriters in Lloyd’s insurance market, the leader of the excess of SIPC coverage program. Lloyd’s currently holds A+ ratings from Fitch Ratings and Standard & Poor’s® (S&P®), and an A rating from A.M. Best. These ratings are based on the financial strength of the company and are subject to change by the rating agencies at any time. For more information visit the Lloyd’s website.

This coverage provides the following protection for Raymond James’s global client assets:

  • An aggregate loss limit of $1 billion for eligible securities—over all client accounts
  • A per-client loss limit of $1.9 million for cash awaiting reinvestment—within the aggregate loss limit of $1 billion

Neither SIPC protection nor the additional excess of SIPC insurance policy protect against loss due to market fluctuation of investments.

An excess of SIPC claim would only arise if Raymond James failed financially and client assets for covered accounts, as defined by SIPC, cannot be located due to theft, misplacement, destruction, burglary, robbery, embezzlement, abstraction, failure to obtain or maintain possession or control of client securities, or to maintain the special reserve bank account required by applicable rules.

SIPC and excess insurance coverage does not apply to unregistered investment contracts or any interest in gold, silver, or other commodities, commodity contracts, or commodity options.

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