Morris C. Weisner
Professional summary
Morris Clinton Weisner was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Morris Clinton Weisner, who also goes by Mo Weisner, was a registered financial professional .
Morris is a previously registered financial professional and started their career in finance in 1984. Morris had worked at 12 firms and has passed the 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
December 1, 2006 - December 31, 2010
CAPITAL FINANCIAL SERVICES, INC.
September 9, 2002 - December 15, 2006
LASALLE ST SECURITIES, L.L.C.
May 20, 2002 - September 6, 2002
THE ADVISORS GROUP, INC.
March 9, 2001 - May 15, 2002
METROPOLITAN INVESTMENT SECURITIES, INC.
September 30, 1999 - March 5, 2001
JONATHAN ROBERTS FINANCIAL GROUP, INC.
February 3, 1997 - October 12, 1999
GROVE POINT INVESTMENTS, LLC
May 23, 1994 - February 6, 1997
INTERVEST INTERNATIONAL EQUITIES CORPORATION
April 6, 1992 - May 23, 1994
PROGRAMMED EQUITIES CORPORATION
February 9, 1989 - April 10, 1992
SECURITIES SERVICE NETWORK, LLC
January 12, 1987 - February 23, 1989
STONEX SECURITIES INC.
July 17, 1986 - January 19, 1987
PLANVEST CAPITAL CORPORATION
September 25, 1984 - August 12, 1986
PILOT 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
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