Thomas J. Gasman
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.
Thomas John Gasman SR, who also goes by T J Gasman, Thomas John Gasman, Tom Gasman, Ton Gasman, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1967. Thomas had worked at 7 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 1991 - August 22, 1991
CAPITAL FINANCIAL SERVICES, INC.
July 20, 1990 - July 27, 2009
HARBOUR INVESTMENTS, INC.
December 7, 1988 - July 23, 1990
SII INVESTMENTS, INC.
December 21, 1987 - November 29, 1988
CAPITAL FINANCIAL SERVICES, INC.
December 23, 1986 - December 10, 1987
COORDINATED CAPITAL SECURITIES, INC.
April 1, 1986 - November 29, 1988
CAPITAL FINANCIAL SERVICES, INC.
March 6, 1982 - April 8, 1986
CHARTER SECURITIES CORPORATION
October 12, 1972 - August 26, 1973
PROVIDENT NATIONAL EQUITIES, INC.
February 27, 1967 - January 18, 1982
GENERAL INVESTMENT SALES CORPORATION
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
Series 1
Date: 2/22/1967
Registered Representative ExaminationCurrent 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.
