John E. Turrell
Professional summary
John Edward Turrell II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, John had worked at 4 firms, which includes CAPITAL FINANCIAL SERVICES INC., MAGELLAN SECURITIES INC, SECURITIES AMERICA INC., OSAIC FS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2004 - May 26, 2011
CAPITAL FINANCIAL SERVICES, INC.
October 31, 1996 - November 24, 2004
MAGELLAN SECURITIES INC
October 1, 1987 - October 21, 1996
SECURITIES AMERICA, INC.
March 11, 1985 - October 5, 1987
OSAIC FS, INC.
State Registrations and Notice Filings
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Exams
Series 28
Date: 2/4/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent 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 |
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