Daniel R. Thompson
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.
Daniel Richard Thompson, who also goes by Dan Thompson, Danny Thompson, was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1987. Daniel had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
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 - August 26, 2009
CAPITAL FINANCIAL SERVICES, INC.
March 7, 2007 - August 26, 2009
CAPITAL FINANCIAL SERVICES, INC.
April 10, 2003 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
November 15, 1995 - February 28, 1997
SIERRA EQUITY GROUP LLC
October 19, 1995 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
February 2, 1993 - September 13, 1995
FSC SECURITIES CORPORATION
June 13, 1990 - December 12, 1992
THE INVESTMENT CENTER, INC.
May 10, 1989 - May 18, 1990
CETERA WEALTH SERVICES, LLC
March 31, 1987 - May 13, 1989
AMERIPRISE FINANCIAL SERVICES, 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
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.
