Gerald A. Geiger
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.
Gerald Albert Geiger, who also goes by Ga Geiger, Jerry Geiger, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1968. Gerald had worked at 19 firms and has passed the Series 63, SIE, Series 5, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2014 - June 1, 2015
CAPITAL FINANCIAL SERVICES, INC.
December 5, 2012 - January 2, 2013
ALLIANCE AFFILIATED EQUITIES CORPORATION
February 1, 2012 - June 1, 2012
BLUEROCK CAPITAL MARKETS LLC
January 25, 2010 - November 8, 2010
PACIFIC POINT SECURITIES, LLC
February 13, 2009 - December 31, 2009
AFA FINANCIAL GROUP, LLC
April 17, 2006 - August 29, 2008
GRUBB & ELLIS SECURITIES, INC.
August 9, 2005 - November 14, 2005
PACIFIC CORNERSTONE CAPITAL INCORPORATED
January 8, 2004 - October 29, 2004
WELLS INVESTMENT SECURITIES,INC.
February 9, 2000 - November 8, 2002
ADVANTAGE CAPITAL CORPORATION
November 30, 1987 - September 13, 2002
FSC SECURITIES CORPORATION
July 1, 1985 - August 11, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
December 28, 1984 - November 26, 1986
BENCHMARK FINANCIAL GROUP, INC.
October 12, 1984 - December 12, 1984
WESTMORELAND CAPITAL CORPORATION
January 23, 1981 - January 7, 1985
WOOLSEY & COMPANY, INCORPORATED
January 15, 1979 - January 31, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 17, 1976 - April 27, 1979
THOMSON MCKINNON SECURITIES INC.
October 2, 1973 - December 1, 1976
A. G. EDWARDS & SONS, INC.
February 3, 1971 - July 24, 1974
CITIGROUP GLOBAL MARKETS INC.
March 28, 1968 - April 5, 1971
GOODBODY & CO. INCORPORATED
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 5
Date: 3/10/1982
Interest Rate Options ExaminationSeries 1
Date: 3/25/1968
Registered Representative ExaminationSeries 40
Date: 10/27/1973
Registered Principal 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.
