Brian W. Boppre
Professional summary
Brian Wade Boppre was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Brian had worked at 7 firms, which includes CAPITAL FINANCIAL SERVICES INC., RAYMOND JAMES FINANCIAL SERVICES INC., INVESTMENT CENTERS OF AMERICA INC., NEXT ADVISORS INC., HUNTINGDON SECURITIES CORPORATION, AMERICAN INVESTMENT SERVICES INC., VARIABLE ASSET STRATEGIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2005 - July 20, 2010
CAPITAL FINANCIAL SERVICES, INC.
November 3, 2004 - July 20, 2010
CAPITAL FINANCIAL SERVICES, INC.
June 4, 2002 - March 5, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 2, 2001 - March 5, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 17, 2000 - October 11, 2001
INVESTMENT CENTERS OF AMERICA, INC.
August 12, 1998 - September 18, 1998
NEXT ADVISORS INC.
July 7, 1997 - July 22, 1998
HUNTINGDON SECURITIES CORPORATION
May 17, 1997 - July 1, 1997
AMERICAN INVESTMENT SERVICES, INC.
August 20, 1996 - May 17, 1997
VARIABLE ASSET STRATEGIES, INC.
State Registrations and Notice Filings
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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 |
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