Bradley P. Wells
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.
Bradley Paul Wells was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1984. Bradley had worked at 8 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 3, Series 7, Series 4, Series 53, Series 28, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2009 - April 28, 2010
CAPITAL FINANCIAL SERVICES, INC.
December 19, 2007 - September 25, 2008
INTEGRITY FUNDS DISTRIBUTOR, LLC
July 20, 2004 - November 18, 2005
CAPITAL FINANCIAL SERVICES, INC.
June 3, 2002 - October 15, 2002
CAPITAL FINANCIAL SERVICES, INC.
August 2, 2001 - October 15, 2002
ARM SECURITIES CORPORATION
October 2, 1997 - February 16, 1998
AISCO TRADING, INC.
March 31, 1997 - March 12, 1998
AMERICAN INVESTMENT SERVICES, INC.
January 26, 1995 - July 9, 2001
VARIABLE ASSET STRATEGIES, INC.
January 7, 1994 - October 18, 1994
SECURITIES AMERICA, INC.
May 23, 1984 - November 15, 1993
MORGAN STANLEY DW 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
Series 15
Date: 8/27/1988
Foreign Currency Options ExaminationSeries 5
Date: 8/27/1988
Interest Rate Options ExaminationSeries 28
Date: 12/3/1994
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 6/15/1987
General Securities Sales Supervisor Examination (Options Module & General Module)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.
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