Richard T. Adams
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.
Richard Thomas Adams JR, who also goes by Richard Thomas Adams, Rich Adams, Richard T Adams Jr., was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 8 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2016 - May 31, 2017
CAPITAL FINANCIAL SERVICES, INC.
March 2, 2011 - January 27, 2016
CENTAURUS FINANCIAL, INC.
August 14, 2007 - February 24, 2011
QUESTAR CAPITAL CORPORATION
December 14, 2005 - September 7, 2007
TOWER SQUARE SECURITIES, INC.
September 5, 1995 - December 31, 2005
OSAIC WEALTH, INC.
June 11, 1993 - September 11, 1995
LPL FINANCIAL LLC
August 5, 1992 - June 18, 1993
MUTUAL SERVICE CORPORATION
October 9, 1987 - June 15, 1992
THRIVENT INVESTMENT MANAGEMENT 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.
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