Leland R. Heathershaw
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.
Leland Roy Heathershaw was a registered financial professional .
Leland is a previously registered financial professional and started their career in finance in 1993. Leland had worked at 7 firms and has passed the 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
January 16, 2017 - December 31, 2018
CAPITAL FINANCIAL SERVICES, INC.
January 9, 2017 - December 31, 2018
CAPITAL FINANCIAL SERVICES, INC.
June 30, 2016 - December 27, 2016
STONEX ADVISORS INC.
November 9, 2010 - June 30, 2016
INTL ADVISORY CONSULTANTS INC.
March 26, 2010 - December 27, 2016
STONEX SECURITIES INC.
June 16, 2008 - March 29, 2010
GUNNALLEN FINANCIAL, INC
July 14, 2006 - March 29, 2010
GUNNALLEN FINANCIAL, INC
June 17, 1993 - July 18, 2006
TRIPP & CO., INC.
February 11, 1993 - April 23, 1993
FOSTER JEFFRIES 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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