Forrest D. Templeton
Professional summary
Forrest Daryl Templeton was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Forrest Daryl Templeton was a registered financial professional .
Forrest is a previously registered financial professional and started their career in finance in 1992. Forrest had worked at 5 firms and has passed the Series 63, Series 7, Series 22, 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
September 16, 2005 - September 14, 2010
CAPWEST SECURITIES, INC.
February 26, 2002 - October 10, 2005
UNITED SECURITIES ALLIANCE, INC.
January 22, 2002 - February 19, 2002
AMERIVET SECURITIES, INC.
August 27, 2001 - December 20, 2001
AMERIVET SECURITIES, INC.
May 19, 1994 - December 16, 1994
PFIC SECURITIES CORPORATION
May 1, 1992 - April 13, 1994
U.S. SECURITIES CLEARING 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
CAPWEST SECURITIES, INC.
CRD#: 30002 / SEC#: , 8-44462
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE FINANCIAL GROUP, INC. | OWNER | |
| HALL, DALE KEITH | CEO, PRESIDENT, TREASURER, CFO, CCO, COO, DIRECTOR, | 706704 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 9 |
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.
