Ralph S. Schneider
Professional summary
Ralph Stacey Schneider was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ralph Stacey Schneider, who also goes by R. Stacey Schneider, Ralph Schneider, Stac Schneider, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1988. Ralph had worked at 4 firms and has passed the Series 66, Series 63, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2010 - November 26, 2010
CAPITAL FINANCIAL SERVICES, INC.
April 24, 2002 - May 5, 2010
OKOBOJI FINANCIAL SERVICES, INC.
March 29, 2001 - April 4, 2002
A. G. EDWARDS & SONS, INC.
July 10, 1998 - April 5, 2001
OKOBOJI FINANCIAL SERVICES, INC.
June 30, 1988 - January 2, 1989
SECURITIES AMERICA, INC.
State Registrations and Notice Filings
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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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