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AR

Alan D. Roundy

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CRD#: 1015496
AR

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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 4, 2007 - June 1, 2012

CAPITAL FINANCIAL SERVICES, INC.

BD
CRD#: 8408
HILLSBORO, OR
Past

January 1, 2004 - May 4, 2007

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
BORING, OR
Past

September 3, 1998 - January 1, 2004

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

January 2, 1997 - September 1, 1998

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

July 24, 1995 - January 4, 1997

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

November 5, 1992 - August 9, 1995

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA
Past

May 7, 1986 - October 26, 1992

CONSECO FINANCIAL SERVICES, INC.

BD
CRD#: 629
CARMEL, IN
Past

December 13, 1983 - February 19, 1986

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/18/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 12/9/1983
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CF
CAPITAL FINANCIAL SERVICES, INC.
CAPITAL FINANCIAL SERVICES, INC. | CAPITOL CITY INVESTMENTS, INC.

CRD#: 8408 / SEC#: 801-24253, 8-25203

BD
Cancelled by SEC on 04/08/2025
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Contact information

Main Address
1821 West Burdick Expressway, Minot, ND 58701
Mailing Address
Phone number
Established
Wisconsin since 08/11/1980
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

CFS ADV PART 2 (3/28/2019)

Direct owners and executive officers

NamePositionCRD#
CAPITAL FINANCIAL HOLDINGS, INC.OWNER
CHRISTIANSON, JOANNE MARIETREASURER5341634
KAPPOTIS, ERNEST DPRINCIPAL OPERATIONS OFFICER4871251
KAPPOTIS, ERNEST DPRINCIPAL FINANCIAL OFFICER4871251
KAPPOTIS, ERNEST DFINOP4871251
POLLARD, DONALD ROBERTPRESIDENT2181631
POLLARD, DONALD ROBERTCHIEF COMPLIANCE OFFICER2181631

Disclosures

Regulatory Event4
Arbitration5

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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Company Information

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

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