SW
Stanley Whittlesey
CAPITAL FINANCIAL MANAGEMENT
INDIANAPOLIS, IN 46250
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CRD#: 1556793
SW
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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
CRS (Client Relationship Summary) - RIA
Click below to view Stanley Whittlesey's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 14, 1993 - Present
CAPITAL FINANCIAL MANAGEMENT, INC.
Office #1: 6525 E. 82nd St. Suite 209, Indianapolis, IN 46250RIA
CRD#: 123625
INDIANAPOLIS, IN
Current
July 21, 1994 - Present
EBH SECURITIES, INC.
Office #1: 6525 E. 82nd St. Suite 209, Indianapolis, IN 46250BD
CRD#: 36592
Indianapolis, IN
Past
July 13, 1993 - August 2, 1994
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
March 9, 1987 - June 25, 1987
PFS INVESTMENTS INC.
BD
CRD#: 10111
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 10/27/2015
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CAPITAL FINANCIAL MANAGEMENT, INC.
CAPITAL FINANCIAL MANAGEMENT, INC.
CRD#: 123625 / SEC#:
Indiana
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Contact information
Main Address
6525 E. 82nd St. Suite 209, Indianapolis, IN 46250
Mailing Address
Phone number
(317) 594-0023
Established
Firm type
Fiscal year end
# of Employees
1
Red Flags
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