Roger A. Glick
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.
Roger Alan Glick was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1996. Roger had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2013 - December 20, 2013
CAPITAL FINANCIAL SERVICES, INC.
February 1, 2006 - August 24, 2006
VARIABLE ASSET STRATEGIES, INC.
October 19, 2004 - December 31, 2005
VARIABLE ASSET STRATEGIES, INC.
August 10, 2004 - September 7, 2011
SPENCER EDWARDS, INC.
January 31, 2001 - August 4, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 12, 2000 - August 4, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 17, 1997 - October 12, 2000
AMERICAN INVESTMENT SERVICES, INC.
September 24, 1996 - May 17, 1997
VARIABLE ASSET STRATEGIES, 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
