Russelle K. Wade
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.
Russelle Kent Wade was a registered financial professional .
Russelle is a previously registered financial professional and started their career in finance in 1998. Russelle had worked at 6 firms and has passed the Series 65, Series 63, Series 7 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
October 20, 2005 - February 28, 2012
CAPITAL FINANCIAL SERVICES, INC.
October 20, 2005 - February 28, 2012
CAPITAL FINANCIAL SERVICES, INC.
April 1, 2004 - October 20, 2005
JESUP & LAMONT ADVISORS
December 17, 2003 - October 20, 2005
EMPIRE FINANCIAL GROUP, INC.
January 30, 2003 - February 6, 2004
FREEDOM ASSET MANAGEMENT, INC.
January 2, 2003 - December 15, 2003
FREEDOM FINANCIAL, INC.
April 2, 1998 - January 13, 2003
THRIVENT INVESTMENT MANAGEMENT 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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