Jeffrey A. Lindsey
Professional summary
Jeffrey Allen Lindsey was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Jeffrey had worked at 7 firms, which includes CAPITAL FINANCIAL SERVICES INC., INTEGRITY FUNDS DISTRIBUTOR LLC, ARM SECURITIES CORPORATION, VARIABLE ASSET STRATEGIES INC., AMERICAN INVESTMENT SERVICES INC., INVEST FINANCIAL CORPORATION, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2004 - June 16, 2010
CAPITAL FINANCIAL SERVICES, INC.
August 5, 2003 - August 17, 2009
INTEGRITY FUNDS DISTRIBUTOR, LLC
June 3, 2002 - June 16, 2010
CAPITAL FINANCIAL SERVICES, INC.
June 28, 2001 - June 2, 2003
ARM SECURITIES CORPORATION
June 14, 2001 - June 28, 2001
VARIABLE ASSET STRATEGIES, INC.
April 3, 1997 - June 20, 2001
AMERICAN INVESTMENT SERVICES, INC.
August 23, 1995 - May 18, 1998
VARIABLE ASSET STRATEGIES, INC.
April 27, 1994 - April 3, 1995
INVEST FINANCIAL CORPORATION
November 3, 1992 - April 20, 1994
EDWARD JONES
State Registrations and Notice Filings
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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 |
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