Alan D. Roundy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alan Dean Roundy was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1983. Alan had worked at 8 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2007 - June 1, 2012
CAPITAL FINANCIAL SERVICES, INC.
January 1, 2004 - May 4, 2007
VOYA FINANCIAL ADVISORS, INC.
September 3, 1998 - January 1, 2004
LOCUST STREET SECURITIES, INC.
January 2, 1997 - September 1, 1998
SECURITIES SERVICE NETWORK, LLC
July 24, 1995 - January 4, 1997
SECURITIES AMERICA, INC.
November 5, 1992 - August 9, 1995
VERAVEST INVESTMENTS, INC.
May 7, 1986 - October 26, 1992
CONSECO FINANCIAL SERVICES, INC.
December 13, 1983 - February 19, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITAL FINANCIAL SERVICES, INC.
CRD#: 8408 / SEC#: 801-24253, 8-25203
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL FINANCIAL HOLDINGS, INC. | OWNER | |
| CHRISTIANSON, JOANNE MARIE | TREASURER | 5341634 |
| KAPPOTIS, ERNEST D | PRINCIPAL OPERATIONS OFFICER | 4871251 |
| KAPPOTIS, ERNEST D | PRINCIPAL FINANCIAL OFFICER | 4871251 |
| KAPPOTIS, ERNEST D | FINOP | 4871251 |
| POLLARD, DONALD ROBERT | PRESIDENT | 2181631 |
| POLLARD, DONALD ROBERT | CHIEF COMPLIANCE OFFICER | 2181631 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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