Stanley Whittlesey
Professional Summary
Stanley Whittlesey is a registered financial advisor currently at CAPITAL FINANCIAL MANAGEMENT, INC. located in Indianapolis, Indiana and EBH SECURITIES, INC. located in Indianapolis, Indiana. Stanley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Stanley has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 6, Series 28 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
CAPITAL FINANCIAL MANAGEMENT, INC.
Contact Information
Main Address
6525 E. 82nd St. Suite 209, Indianapolis, IN 46250Phone Number
(317) 594-0023# of Employees
1Documents
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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State Registrations and Notice Filings
(6/9/1995)
(7/14/1993)
(1/2/1996)
(7/18/1996)
(1/1/1996)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1993About the Series 6 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Oct 2015About the Series 28 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Feb 1994About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Stanley Whittlesey's CRS (Customer Relationship Summary).
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