John K. Mortimer
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.
John Kane Mortimer was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 10 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
January 17, 2006 - December 31, 2018
CAPITAL FINANCIAL SERVICES, INC.
January 17, 2006 - December 31, 2018
CAPITAL FINANCIAL SERVICES, INC.
January 13, 2006 - January 13, 2006
CAPITAL FINANCIAL SERVICES, INC.
June 10, 2004 - December 31, 2005
CAPITAL FINANCIAL SERVICES, INC.
May 27, 2004 - October 25, 2004
VOYAGER CAPITAL MANAGEMENT, LLC
December 16, 2003 - July 7, 2004
FSC SECURITIES CORPORATION
January 23, 2002 - December 18, 2003
CAPITAL FINANCIAL SERVICES, INC.
September 13, 2001 - December 19, 2001
ESSEX NATIONAL SECURITIES, LLC
March 25, 1999 - September 5, 2001
M&I FINANCIAL ADVISORS, INC
September 9, 1998 - March 30, 1999
CAPITAL FINANCIAL SERVICES, INC.
July 26, 1995 - September 9, 1998
SII INVESTMENTS, INC.
January 20, 1993 - July 24, 1995
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 21, 1991 - December 17, 1992
NEW ENGLAND SECURITIES
August 26, 1986 - May 6, 1989
HYDRA SECURITIES CORPORATION
January 28, 1985 - October 1, 1991
VOYA FINANCIAL ADVISORS, 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.
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