Daniel P. Delaney
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 Patrick Delaney, who also goes by Daniel P Delaney, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1990. Daniel had worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2015 - December 12, 2016
CAPITAL FINANCIAL SERVICES, INC.
June 23, 2009 - September 26, 2013
STIRA CAPITAL MARKETS GROUP, LLC
November 20, 2002 - February 10, 2009
PACIFIC SELECT DISTRIBUTORS, LLC
October 6, 1998 - August 24, 1999
CITIGROUP GLOBAL MARKETS INC.
July 14, 1997 - April 16, 1998
NEW ENGLAND SECURITIES
April 3, 1996 - May 20, 1997
U.S. BANCORP ADVISORS, LLC
September 22, 1995 - February 14, 1996
WELLS FARGO SECURITIES INC.
April 10, 1995 - September 29, 1995
VOYA INVESTMENTS DISTRIBUTOR, LLC
December 14, 1990 - April 10, 1995
ASTRA FUND DISTRIBUTORS CORP.
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.
