Lloyd M. Johnston
Professional summary
Lloyd Mark Johnston was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lloyd is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Lloyd had worked at 6 firms, which includes CAPITAL FINANCIAL SERVICES INC., LEGACY FINANCIAL SERVICES INC., EASTERN POINT ADVISORS INC., INVESTORS CAPITAL CORP., TRANSAMERICA FINANCIAL ADVISORS LLC, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2006 - April 19, 2018
CAPITAL FINANCIAL SERVICES, INC.
June 8, 2004 - June 5, 2006
LEGACY FINANCIAL SERVICES, INC.
March 11, 1999 - June 4, 2004
EASTERN POINT ADVISORS INC.
February 13, 1996 - February 27, 2004
INVESTORS CAPITAL CORP.
December 23, 1992 - December 31, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 24, 1987 - March 12, 1992
PRUCO SECURITIES, LLC.
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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