Donald P. Waage
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 Paul Waage, who also goes by Don Waage, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1986. Donald had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
January 18, 2011 - May 31, 2019
CAPITAL FINANCIAL SERVICES, INC.
January 12, 2011 - May 31, 2019
CAPITAL FINANCIAL SERVICES, INC.
November 17, 2009 - January 11, 2011
ONEAMERICA SECURITIES, INC.
May 2, 2006 - November 18, 2009
CAPITAL FINANCIAL SERVICES, INC.
August 29, 2005 - November 18, 2009
CAPITAL FINANCIAL SERVICES, INC.
April 6, 2005 - August 30, 2005
JESUP & LAMONT ADVISORS
April 6, 2005 - August 30, 2005
EMPIRE FINANCIAL GROUP, INC.
August 8, 2002 - April 1, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
May 1, 2002 - July 8, 2002
ONEAMERICA SECURITIES, INC.
March 12, 2002 - July 8, 2002
ONEAMERICA SECURITIES, INC.
June 26, 2001 - March 7, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
March 8, 2000 - June 15, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
July 8, 1998 - June 18, 2001
LONDON PACIFIC SECURITIES, INC.
July 2, 1996 - November 14, 1997
REINHARDT WERBA BOWEN SECURITIES, INC.
April 26, 1991 - July 25, 1995
THE BENHAM GROUP
September 2, 1988 - March 12, 1991
PRUCO SECURITIES, LLC.
September 1, 1988 - March 12, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 23, 1986 - August 9, 1988
OSAIC FS, INC.
May 19, 1986 - July 23, 1988
FORESTERS 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.
