Sandra R. Nemeth
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.
Sandra Rosalie Nemeth, who also goes by Sandra Bogorad, Sandra R Nemeth, was a registered financial advisor .
Sandra is a previously registered financial advisor and started their career in finance in 1993. Sandra had worked at 8 firms and has passed the Series 63, Series 2 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2007 - June 1, 2011
CAPITAL FINANCIAL SERVICES, INC.
May 11, 2006 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
October 16, 2003 - May 12, 2006
AMERITAS INVESTMENT COMPANY, LLC
April 22, 2003 - October 10, 2003
BLUE VASE SECURITIES, LLC
January 6, 2003 - October 10, 2003
BLUE VASE SECURITIES, LLC
January 6, 2000 - November 29, 2002
SCF SECURITIES, INC.
October 20, 1997 - December 31, 1999
WALL STREET FINANCIAL GROUP, INC.
May 4, 1994 - September 2, 1997
CENTAURUS FINANCIAL, INC.
December 23, 1993 - April 22, 1994
NORTH AMERICAN MANAGEMENT, 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 2
Date: 7/30/1996
Non-Member General Securities 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.
