Daniel L. Kouba
Professional summary
Daniel Lawrence Kouba was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Daniel had worked at 4 firms, which includes CAPITAL FINANCIAL SERVICES INC., MML INVESTORS SERVICES LLC, G. R. PHELPS & CO. INC., NYLIFE SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 1998 - June 24, 1999
CAPITAL FINANCIAL SERVICES, INC.
January 6, 1997 - August 11, 1997
CAPITAL FINANCIAL SERVICES, INC.
March 1, 1996 - January 3, 1997
MML INVESTORS SERVICES, LLC
May 20, 1991 - March 1, 1996
G. R. PHELPS & CO., INC.
July 24, 1985 - April 11, 1991
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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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
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