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SK

Steven R. Knuttila

Some features on this profile are disabled
CRD#: 3039112
SK

Professional summary

Steven Roland Knuttila was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Steven is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Steven had worked at 5 firms, which includes CAPITAL FINANCIAL SERVICES INC., QUESTAR CAPITAL CORPORATION, USALLIANZ SECURITIES INC., RAYMOND JAMES FINANCIAL SERVICES INC., EDWARD JONES.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Knuttila

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 22, 2012 - December 31, 2017

CAPITAL FINANCIAL SERVICES, INC.

RIA
CRD#: 8408
PERHAM, MN
Past

June 4, 2012 - December 31, 2017

CAPITAL FINANCIAL SERVICES, INC.

BD
CRD#: 8408
PERHAM, MN
Past

December 1, 2006 - June 6, 2012

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
PERHAM, MN
Past

October 3, 2005 - December 1, 2006

USALLIANZ SECURITIES, INC.

BD
CRD#: 40875
PERHAM, MN
Past

May 17, 2002 - October 4, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

May 14, 1998 - May 17, 2002

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/15/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/13/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 5/19/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/10/2002
General Securities Principal Examination

Current Firm

CF
CAPITAL FINANCIAL SERVICES, INC.
CAPITAL FINANCIAL SERVICES, INC. | CAPITOL CITY INVESTMENTS, INC.

CRD#: 8408 / SEC#: 801-24253, 8-25203

BD
Cancelled by SEC on 04/08/2025
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Contact information

Main Address
1821 West Burdick Expressway, Minot, ND 58701
Mailing Address
Phone number
Established
Wisconsin since 08/11/1980
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

CFS ADV PART 2 (3/28/2019)

Direct owners and executive officers

NamePositionCRD#
CAPITAL FINANCIAL HOLDINGS, INC.OWNER
CHRISTIANSON, JOANNE MARIETREASURER5341634
KAPPOTIS, ERNEST DPRINCIPAL OPERATIONS OFFICER4871251
KAPPOTIS, ERNEST DPRINCIPAL FINANCIAL OFFICER4871251
KAPPOTIS, ERNEST DFINOP4871251
POLLARD, DONALD ROBERTPRESIDENT2181631
POLLARD, DONALD ROBERTCHIEF COMPLIANCE OFFICER2181631

Disclosures

Regulatory Event4
Arbitration5

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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Company Information

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

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