Charles R. Clausen
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.
Charles Richard Clausen, who also goes by Chuck Clausen, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1987. Charles had worked at 12 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 - December 31, 2011
CAPITAL FINANCIAL SERVICES, INC.
March 16, 2004 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
January 14, 2000 - March 26, 2004
INVESTORS CAPITAL CORP.
November 18, 1997 - January 5, 2000
SIGNATOR INVESTORS, INC.
May 26, 1995 - March 10, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 26, 1995 - March 10, 1997
SIGNATOR INVESTORS, INC.
June 6, 1994 - May 8, 1995
WMA SECURITIES, INC.
March 9, 1993 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 27, 1991 - December 31, 1992
WOODBURY FINANCIAL SERVICES, INC.
November 28, 1990 - December 24, 1991
1717 CAPITAL MANAGEMENT COMPANY
March 1, 1989 - November 28, 1990
PRINCIPAL SECURITIES, INC.
November 10, 1987 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
November 10, 1987 - February 4, 1989
MML INVESTORS SERVICES, LLC
May 4, 1987 - November 17, 1987
WOODBURY FINANCIAL SERVICES, 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
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.
