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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

THOMAS OCTAVE PEKAR

Advisor at CAPITOL SECURITIES MANAGEMENT, INC.

MELVILLE, NY | Farmingville, NY

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Search this name across graphsid dfx:ria:d6ffe6f8-374a-0797-bcb8-143a40343304

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 26, 2004 to Sep 15, 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: Feb 5, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 5, 1998
First registration: Feb 26, 2004
Dual registered: yes, broker-dealer
Other names: THOMAS PEKAR
IAPD individual key: 2996625

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	Dec 18, 2024	n/a	yes	Farmingville, NY\|MELVILLE, NY	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Nov 12, 2020	Dec 26, 2024	no	FARMINGVILLE, NY	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2012	Nov 12, 2020	no	FARMINGVILLE, NY	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Aug 6, 2008	Jul 2, 2012	no	FARMINGVILLE, NY\|SAN DIEGO, CA	Previous registration
LADENBURG THALMANN ASSET MANAGEMENT INC	Other adviser	Feb 26, 2004	Jul 21, 2008	no	MELVILLE, NY	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
CETERA INVESTMENT ADVISERS LLC	CAPITOL SECURITIES MANAGEMENT, INC.	Dec 26, 2024	Dec 18, 2024	-8	Firm change	Ibd to RIA
FIRST ALLIED ADVISORY SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Nov 12, 2020	Nov 12, 2020	0	Bulk transfer	Ibd to ibd
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	Jul 2, 2012	0	Bulk transfer	Other
LADENBURG THALMANN ASSET MANAGEMENT INC	FIRST ALLIED SECURITIES, INC.	Jul 21, 2008	Aug 6, 2008	16	Firm change	Other

Relationships

Registered with (5)

→ CAPITOL SECURITIES MANAGEMENT, INC.Registered adviserregistration: current employment
Dec 18, 2024 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Nov 12, 2020 to Dec 26, 2024factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Aug 6, 2008 to Jul 2, 2012factForm ADV
→ LADENBURG THALMANN ASSET MANAGEMENT INCRegistered adviserregistration: previous registration
Feb 26, 2004 to Jul 21, 2008factForm ADV

Dated events

Occurred
Dec 26, 2024
Advisor changed firm
Thomas Octave Pekar left Cetera Investment Advisers Llc for Capitol Securities Management, Inc. (registered 2024-12-18)
Form ADVobserved 6 days ago