Roger A. Bauman
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.
Roger Allen Bauman, who also goes by Roger A Bauman, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1983. Roger had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 22 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
March 7, 2007 - December 31, 2014
CAPITAL FINANCIAL SERVICES, INC.
November 22, 2002 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
May 8, 1998 - December 4, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 31, 1993 - May 15, 1998
CITIGROUP GLOBAL MARKETS INC.
August 1, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
July 5, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
July 5, 1983 - August 8, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
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.
