Michael Glassman
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.
Michael Glassman was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 8 firms and has passed the 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
August 8, 2014 - December 31, 2015
CAPITAL FINANCIAL SERVICES, INC.
August 29, 2012 - March 28, 2013
IBN FINANCIAL SERVICES, INC.
October 8, 2009 - November 19, 2010
PFS INVESTMENTS INC.
May 1, 2006 - October 1, 2007
EVOLVE SECURITIES, INC.
January 17, 2006 - May 1, 2006
U.S.-WORLDWIDE FINANCIAL SERVICES, INC.
June 11, 2002 - December 31, 2005
INVESTORS CAPITAL CORP.
November 2, 1999 - March 1, 2002
INVESTORS CAPITAL CORP.
March 19, 1998 - October 11, 1999
METROPOLITAN LIFE INSURANCE COMPANY
March 19, 1998 - October 11, 1999
MSI FINANCIAL SERVICES, 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
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 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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