Michael R. Axford
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.
Michael Roy Axford, who also goes by Mike Axford, Michael Roy Gurzinski, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1999. Michael 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
September 2, 2005 - June 3, 2006
CAPITAL FINANCIAL SERVICES, INC.
September 1, 2005 - June 3, 2006
CAPITAL FINANCIAL SERVICES, INC.
February 3, 2005 - September 6, 2005
JESUP & LAMONT ADVISORS
January 4, 2005 - September 6, 2005
EMPIRE FINANCIAL GROUP, INC.
June 27, 2002 - December 17, 2004
AMERITAS INVESTMENT COMPANY, LLC
January 3, 2002 - December 17, 2004
AMERITAS INVESTMENT COMPANY, LLC
November 11, 1999 - December 31, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 31, 1999 - December 3, 1999
AVANTAX INVESTMENT SERVICES, 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.
