Alan Sharpe
Alan Sharpe is a registered investment advisor at Capitol Securities Management, INC., based in Glen Allen, VA, with 35 years of industry experience. Alan 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
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.
Location
4050 Innslake Drive, Suite 250, Glen Allen, VA, 23060
Get directionsHistory
Regulatory History (1)
Customer Dispute
June 2017Other 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.
Capitol Securities Management, INC.Broker
Previous Registrations
Arthur Wood Investment Advisors CORP
Wood (arthur W.) Company, INC.Broker
Moors & Cabot, INC.Broker
Moors & Cabot, INC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Wells Fargo Advisors, LLCBroker
Prudential Securities IncorporatedBroker
Morgan Stanley Dw INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations13 states
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.