Troy A. Turley
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.
Troy Allen Turley was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 1984. Troy 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
March 7, 2007 - June 5, 2012
CAPITAL FINANCIAL SERVICES, INC.
January 21, 2005 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
March 7, 2002 - December 31, 2004
PACIFIC WEST SECURITIES, INC.
March 22, 2001 - March 21, 2002
FORESTERS EQUITY SERVICES, INC.
May 1, 2000 - February 23, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 26, 1998 - November 12, 1999
LUTHERAN BROTHERHOOD SECURITIES CORP.
July 22, 1987 - October 23, 1998
THRIVENT INVESTMENT MANAGEMENT INC.
August 14, 1984 - September 17, 1985
WADDELL & REED
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.
