Susan C. Sellers Brent
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.
Susan Carole Sellers Brent, who also goes by Susan Whitman Bailey, Susan Carole Savelis, Susan Whitman Savelis, Susan Whitmen Savelis, Susan Carole Sellers, Susan Whitman Sellers, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1998. Susan had worked at 7 firms and has passed the Series 65, Series 63 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
September 30, 2010 - December 31, 2012
CAPITAL FINANCIAL SERVICES, INC.
September 30, 2010 - December 31, 2012
CAPITAL FINANCIAL SERVICES, INC.
November 6, 2009 - October 5, 2010
SIGNATOR INVESTORS, INC.
February 14, 2008 - September 14, 2009
NEXT FINANCIAL GROUP, INC.
February 14, 2008 - September 14, 2009
NEXT FINANCIAL GROUP, INC.
May 15, 2006 - February 15, 2008
CAPITAL FINANCIAL SERVICES, INC.
May 15, 2006 - February 15, 2008
CAPITAL FINANCIAL SERVICES, INC.
June 3, 2003 - May 15, 2006
VALIC FINANCIAL ADVISORS, INC.
February 18, 1999 - May 15, 2006
VALIC FINANCIAL ADVISORS, INC.
February 3, 1999 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
April 15, 1998 - January 26, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 15, 1998 - January 26, 1999
EQUITABLE ADVISORS, 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
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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