Gerald J. Kesner

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CRD#: 2337113

Professional summary

Gerald Jamieson Kesner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gerald is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Gerald had worked at 5 firms, which includes CAPITAL FINANCIAL GROUP INC., RAYMOND JAMES FINANCIAL SERVICES INC., OPPENHEIMER & CO. INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 3, 1999 - September 16, 2008

CAPITAL FINANCIAL GROUP, INC.

RIA

CRD#: 111709

DENVER, CO

Past

June 19, 1998 - March 4, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

DENVER, CO

Past

February 4, 1996 - June 25, 1998

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

April 5, 1993 - January 3, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 5, 1993 - January 3, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL FINANCIAL GROUP, INC.

CRD#: 111709 / SEC#: 801-117272

RIA

Registered Investment Advisory firm - (8/28/2019 Approved)

Colorado

Registered Investment Advisory firm - (9/24/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/28/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/8/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/19/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/2/1993

General Securities Representative Examination

Current Firm

CAPITAL FINANCIAL GROUP, INC.

CRD#: 111709 / SEC#: 801-117272

RIA

Registered Investment Advisory firm - (8/28/2019 Approved)

Colorado

Registered Investment Advisory firm - (9/24/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/28/2016 Terminated)

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Contact information

Main Address

8400 E. Prentice Ave., Suite 1100, Greenwood Village, CO 80111-2926

Mailing Address

Phone number

(303) 629-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL FINANCIAL GROUP, INC. (2/13/2025)

Regulatory assets under management

Total Number of Accounts	655
AUM (Assets Under Management)	$ 204,720,315

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Gerald J. Kesner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL FINANCIAL GROUP, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

OPPENHEIMER & CO. INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CAPITAL FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/8/1997

Series 63

Date: 4/19/1995

Series 7

Date: 4/2/1993

Current Firm

CAPITAL FINANCIAL GROUP, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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