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Stanley Whittlesey

CAPITAL FINANCIAL MANAGEMENT
INDIANAPOLIS, IN
·CRD# 1556793·33 years experience

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

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

CAPITAL FINANCIAL MANAGEMENT, INC.·CRD# 123625
RIA
6525 E. 82nd St. Suite 209, Indianapolis, IN 46250
July 14, 1993 - Present
EBH SECURITIES, INC.·CRD# 36592
BD
6525 E. 82nd St. Suite 209, Indianapolis, IN 46250
July 21, 1994 - Present
MARINER FINANCIAL SERVICES, INC.·CRD# 8292
BD
Largo, FL
July 13, 1993 - August 2, 1994
PFS INVESTMENTS INC.·CRD# 10111
BD
March 9, 1987 - June 25, 1987

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Current Firm

CF
CAPITAL FINANCIAL MANAGEMENT, INC.

CAPITAL FINANCIAL MANAGEMENT, INC.

CRD#: 123625
Indiana
Registered Investment Advisory firm - Indiana (3/12/2003 Approved)

Contact Information

Main Address

6525 E. 82nd St. Suite 209, Indianapolis, IN 46250

Phone Number

(317) 594-0023

# of Employees

1

Documents

Latest Form ADV

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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.

CAPITAL FINANCIAL MANAGMENT, INC-OWN 100% OF OUTSTANDING SHARES. PRESIDENT, INSURANCE AGENT, & INVESTMENT ADVISOR. Investment related: The firm does not offer or sell financial products through this company. The firm offers securities through EBH Securities, Inc. Address: 6525 E. 82nd St Suite 209 Indianapolis, IN 46250 Nature of business: The firm is a financial planning company, Registered as an Investment Advisory Firm Position: President and financial advisor Title: President Start date: 1992 Approximate number of hours/month devoted to business: 4-8 hours Number of hours devoted during securities trading hours: 4-8 Duties: Act as an Investment Advisor to individuals. Perform administrative duties within the business ADVANCED FUNDING GROUP, LLC MANAGING DIRECTOR Business is not investment related Address: 6525 E. 82nd St Suite 209, Indianapolis, IN 46250 Nature of business: Pre-Settlement funding Position: Managing Director Title: Managing Director Start Date: April 2007 Approximate number of hours/month devoted to business: 16-20 hours Duties: provide individual customers with pre-settlement funding during their pending lawsuit. Conduct administrative duties within the business. Rental Properties
(2) Address: 4453 Pepperidge circle and 3537 Luewan DR Indianapolis, IN 46226 Indianapolis, IN 46235 Nature of business: rental properties, this business is not investment -related Position: Owner of properties Start Date: purchased properties in 2008 Approximate number of hours per month devoted to business: 2-3 hours Number of hours devoted during securities trading hours: 0-1 hour Duties: Manage properties, conduct administrative duties of the business

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Georgia
(6/9/1995)
IAR
Indiana
(7/14/1993)
RR
Indiana
(1/2/1996)
RR
Kentucky
(7/18/1996)
RR
Ohio
(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 63 — Uniform Securities Agent State Law Examination

Passed Jul 1993About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jul 1993About the Series 6 exam

Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination

Passed Oct 2015About the Series 28 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Feb 1994About the Series 26 exam
FINRA
SRO 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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