David A. Hagen
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.
David Allen Hagen was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1972. David had worked at 6 firms and has passed the Series 65, 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
October 21, 2005 - December 31, 2009
CAPITAL FINANCIAL SERVICES, INC.
September 14, 2005 - September 14, 2005
CAPITAL FINANCIAL SERVICES, INC.
September 13, 2005 - June 5, 2012
CAPITAL FINANCIAL SERVICES, INC.
July 8, 2004 - September 20, 2005
JESUP & LAMONT ADVISORS
November 20, 2003 - September 20, 2005
EMPIRE FINANCIAL GROUP, INC.
August 30, 2000 - November 20, 2003
FREEDOM FINANCIAL, INC.
August 30, 1989 - September 7, 2000
OAKWOOD CAPITAL SECURITIES, INC.
September 28, 1972 - August 31, 1989
MARQUETTE FINANCIAL GROUP, INC.
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: 7/17/1968
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.
