Donald L. Riggs
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.
Donald Lee Riggs, CFP® was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1985. Donald had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 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
August 16, 2012 - April 20, 2016
CAPITAL FINANCIAL SERVICES, INC.
August 16, 2012 - April 20, 2016
CAPITAL FINANCIAL SERVICES, INC.
December 2, 2011 - August 7, 2012
DOMINION INVESTMENT ADVISORS, LLC
July 12, 2010 - December 2, 2011
MCL FINANCIAL GROUP, INC.
February 17, 2010 - June 13, 2011
MCL FINANCIAL GROUP, INC.
April 13, 2007 - July 14, 2009
EQUITY SERVICES, INC.
April 13, 2007 - July 14, 2009
EQUITY SERVICES, INC.
September 5, 2006 - March 20, 2007
B.B. GRAHAM & COMPANY, INC.
December 15, 2004 - April 11, 2007
PRIVATE EQUITY INVESTMENTS, INC.
August 6, 2003 - August 31, 2006
NATIONS FINANCIAL GROUP, INC.
April 28, 2003 - August 5, 2003
CHANNEL POINT PARTNERS
August 31, 2001 - April 29, 2003
EQUITY SERVICES, INC.
May 9, 2001 - April 29, 2003
EQUITY SERVICES, INC.
November 3, 1993 - May 2, 2001
HORNOR, TOWNSEND & KENT, LLC
November 19, 1989 - November 1, 1993
OSAIC WEALTH, INC.
July 7, 1987 - November 4, 1991
JOHN HANCOCK DISTRIBUTORS LLC
February 6, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 27, 1985 - February 12, 1987
HORNOR, TOWNSEND & KENT, 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.
