Charles W. Apodaca
Professional summary
Charles William Apodaca was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Charles had worked at 7 firms, which includes CAPITAL FINANCIAL SERVICES INC., UNITED HERITAGE FINANCIAL SERVICES INC., EQUITABLE ADVISORS LLC, KMS FINANCIAL SERVICES INC., WMA SECURITIES INC., PRINCIPAL SECURITIES INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2007 - May 11, 2012
CAPITAL FINANCIAL SERVICES, INC.
March 7, 2007 - May 11, 2012
CAPITAL FINANCIAL SERVICES, INC.
July 8, 2004 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
July 8, 2004 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
June 4, 2002 - July 27, 2004
EQUITABLE ADVISORS, LLC
December 22, 1999 - July 27, 2004
EQUITABLE ADVISORS, LLC
April 18, 1995 - November 19, 1999
KMS FINANCIAL SERVICES, INC.
May 2, 1994 - June 29, 1995
WMA SECURITIES, INC.
April 23, 1991 - April 27, 1992
PRINCIPAL SECURITIES, INC.
April 3, 1987 - April 16, 1991
EQUITABLE ADVISORS, LLC
January 23, 1987 - April 16, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
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