Lyle M. Pegrim
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.
Lyle Mccain Pegrim was a registered financial professional .
Lyle is a previously registered financial professional and started their career in finance in 1983. Lyle had worked at 18 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2014 - December 31, 2015
CAPITAL FINANCIAL SERVICES, INC.
January 6, 2012 - December 24, 2013
SOUTHEAST INVESTMENTS, N.C., INC.
June 11, 2008 - December 31, 2011
FORTUNE FINANCIAL SERVICES, INC.
April 7, 2006 - December 31, 2007
NEWBRIDGE SECURITIES CORPORATION
August 27, 2002 - December 31, 2005
1ST DISCOUNT BROKERAGE, INC.
June 24, 1996 - August 23, 2002
ACUMENT SECURITIES, INC.
January 6, 1995 - June 21, 1996
BOLTON GLOBAL CAPITAL
December 15, 1992 - January 5, 1995
GUARDIAN INVESTOR SERVICES LLC
November 9, 1992 - December 10, 1992
POWELL & SATTERFIELD, INC.
June 8, 1990 - November 6, 1992
THE INVESTMENT CENTER, INC.
October 24, 1989 - November 10, 1989
SCHAEFER SECURITIES, INC.
July 18, 1989 - October 3, 1989
SCHAEFER SECURITIES, INC.
March 7, 1989 - July 27, 1989
ALLISON, ROSENBLUM & HANNAHS, INC.
April 5, 1988 - March 9, 1989
POWELL & SATTERFIELD, INC.
December 1, 1987 - March 26, 1988
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
September 25, 1987 - December 7, 1987
BRENNER STEED, INC.
September 17, 1984 - June 6, 1986
THOMSON MCKINNON SECURITIES INC.
December 21, 1983 - September 7, 1984
CARTY, HARDING & HEARN, INC.
October 17, 1983 - November 28, 1983
UBS FINANCIAL SERVICES INC.
July 13, 1983 - October 24, 1983
SWINK & COMPANY, 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
