Roger A. 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.
Roger Allen Thompson was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1988. Roger had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, 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
December 15, 2011 - May 1, 2017
CAPITAL FINANCIAL SERVICES, INC.
December 9, 2011 - May 1, 2017
CAPITAL FINANCIAL SERVICES, INC.
October 7, 2009 - December 15, 2011
EQUITABLE ADVISORS, LLC
October 6, 2009 - December 15, 2011
EQUITABLE ADVISORS, LLC
March 24, 2006 - October 7, 2009
U.S. BANCORP INVESTMENTS, INC.
January 25, 2002 - October 7, 2009
U.S. BANCORP INVESTMENTS, INC.
August 20, 1997 - January 2, 2002
MARQUETTE FINANCIAL GROUP, INC.
August 11, 1997 - August 20, 1997
CETERA INVESTMENT SERVICES LLC
February 8, 1995 - July 16, 1997
U.S. BANCORP INVESTMENTS, INC.
June 2, 1993 - February 15, 1995
IFMG SECURITIES, INC.
May 5, 1992 - May 12, 1993
CITICORP INVESTMENT SERVICES
March 17, 1989 - April 15, 1992
FUNDSELECT ADVISERS, INC.
January 20, 1988 - March 15, 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.
