Robert A. Jackson
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.
Robert Alan Jackson, who also goes by Bob Alan Jackson, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 17 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2007 - February 13, 2013
CAPITAL FINANCIAL SERVICES, INC.
June 30, 2004 - February 16, 2007
UNITED SECURITIES ALLIANCE, INC.
June 19, 2002 - July 29, 2004
GREAT NORTHERN FINANCIAL SECURITIES, INC.
June 21, 2001 - July 16, 2002
FIRST MONTAUK SECURITIES CORP.
April 10, 2000 - June 21, 2001
METROPOLITAN INVESTMENT SECURITIES, INC.
August 27, 1999 - March 30, 2000
BROOKSTREET SECURITIES CORPORATION
June 4, 1999 - September 13, 1999
CETERA ADVISORS LLC
May 14, 1999 - June 1, 1999
KEYBANC CAPITAL MARKETS INC.
January 5, 1999 - May 14, 1999
KEY INVESTMENTS INC.
February 10, 1998 - January 12, 1999
UNITED HERITAGE FINANCIAL SERVICES, INC.
October 24, 1996 - January 8, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 1996 - November 1, 1996
WELLS FARGO SECURITIES INC.
September 5, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
June 23, 1995 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
January 24, 1995 - April 19, 1995
SIGNATOR FINANCIAL SERVICES, INC.
November 4, 1994 - April 27, 1995
SEAFIRST INVESTMENT SERVICES, INC.
July 15, 1994 - November 4, 1994
CETERA ADVISORS LLC
July 27, 1984 - May 17, 1985
PRUDENTIAL EQUITY GROUP, 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.
