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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

STEPHANIE WILLIAMS GUANZINI

Advisor at CAPITOL SECURITIES MANAGEMENT, INC.

Wilmington, NC | GLEN ALLEN, VA

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Search this name across graphsid dfx:ria:c849f84f-60da-6f0f-88a8-301862bf3522

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jul 7, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAPITOL SECURITIES MANAGEMENT, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 4, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 4, 2009
First registration: Jul 7, 2009
Dual registered: yes, broker-dealer
Other names: STEPHANIE WILLIAMS ALLEN|STEPHANIE WILLIAMS|STEPHANIE WILLIAMS GUANZINI|STEPHANIE LEE WILLIAMS|STEPHANIE LEE GUANZINI
IAPD individual key: 5664075

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAPITOL SECURITIES MANAGEMENT, INC.	Independent wealth	Nov 13, 2025	n/a	yes	GLEN ALLEN, VA\|Wilmington, NC	Current employment
FIRST CITIZENS INVESTOR SERVICES, INC.	Bd affiliated wealth	Jul 19, 2022	Sep 30, 2025	no	Wilmington, NC	Previous registration
OSAIC FS, INC.	Former SEC adviser	Nov 15, 2013	Jul 25, 2022	no	LELAND, NC\|RALEIGH, NC\|WILMINGTON, NC	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 2, 2011	Nov 22, 2013	no	MOREHEAD CITY, NC\|LELAND, NC\|LELAND, NC\|FORT MILL, SC	Previous registration
EDWARD JONES	National bd RIA	Jul 7, 2009	Dec 5, 2011	no	ST LOUIS, MO\|WILMINGTON, NC\|WILMINGTON, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIRST CITIZENS INVESTOR SERVICES, INC.	CAPITOL SECURITIES MANAGEMENT, INC.	Sep 30, 2025	Nov 13, 2025	44	Firm change	Ibd to RIA
OSAIC FS, INC.	FIRST CITIZENS INVESTOR SERVICES, INC.	Jul 25, 2022	Jul 19, 2022	-6	Firm change	Ibd to ibd
LPL FINANCIAL LLC	OSAIC FS, INC.	Nov 22, 2013	Nov 15, 2013	-7	Firm change	Other
EDWARD JONES	LPL FINANCIAL LLC	Dec 5, 2011	Dec 2, 2011	-3	Firm change	Other

Relationships

Registered with (5)

→ CAPITOL SECURITIES MANAGEMENT, INC.Registered adviserregistration: current employment
Nov 13, 2025 to presentfactForm ADV
→ FIRST CITIZENS INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
Jul 19, 2022 to Sep 30, 2025factForm ADV
→ OSAIC FS, INC.Registered adviserregistration: previous registration
Nov 15, 2013 to Jul 25, 2022factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 2, 2011 to Nov 22, 2013factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jul 7, 2009 to Dec 5, 2011factForm ADV

Dated events

Occurred
Sep 30, 2025
Advisor changed firm
Stephanie Williams Guanzini left First Citizens Investor Services, Inc. for Capitol Securities Management, Inc. (registered 2025-11-13)
Form ADVobserved 4 days ago
Occurred
Jul 25, 2022
Advisor changed firm
Stephanie Williams Guanzini left Osaic Fs, Inc. for First Citizens Investor Services, Inc. (registered 2022-07-19)
Form ADVobserved 4 days ago