James Wahl
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.
James Wahl, who also goes by Jim Wahl, James Wanl, Jim Wanl, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 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
October 29, 2013 - April 9, 2018
CAPITAL FINANCIAL SERVICES, INC.
July 20, 2004 - October 22, 2013
FINTEGRA, LLC
February 4, 2004 - August 3, 2004
HUNTINGDON SECURITIES CORPORATION
April 7, 1997 - January 21, 2004
CETERA INVESTMENT SERVICES LLC
June 1, 1995 - April 10, 1997
VARIABLE ASSET STRATEGIES, INC.
February 24, 1995 - May 24, 1995
U.S. BANCORP INVESTMENTS, INC.
May 25, 1993 - March 13, 1995
IFMG SECURITIES, INC.
February 26, 1993 - June 7, 1993
VOYA FINANCIAL ADVISORS, INC.
November 7, 1991 - December 31, 1992
CETERA ADVISORS 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.
