Phyllis E. Klein
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.
Phyllis Ellen Klein, who also goes by Phyllis Ellen Ramseyer, Phyllis Ellen Walker, Phyllis Walker, was a registered financial professional .
Phyllis is a previously registered financial professional and started their career in finance in 1999. Phyllis had worked at 6 firms and has passed the Series 65, Series 63, SIE 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
May 19, 2004 - February 24, 2022
CAPFINANCIAL SECURITIES, LLC.
March 19, 2004 - April 28, 2004
EMPOWER FINANCIAL SERVICES, INC.
November 29, 2002 - December 31, 2003
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 2, 2001 - November 29, 2002
WELLS FARGO INVESTMENTS, LLC
July 12, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
February 23, 1999 - July 12, 1999
ARK FUNDS DISTRIBUTORS, LLC
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
CAPFINANCIAL SECURITIES, LLC.
CRD#: 126291 / SEC#: , 8-65870
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | |
| BUCHANAN, DENISE MCGEE | CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO | 1284353 |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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