Roger D. Meyer
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 Dale Meyer, who also goes by Roger D Meyer, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1973. Roger had worked at 7 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2006 - March 19, 2010
CAPITAL FINANCIAL SERVICES, INC.
January 23, 1997 - December 31, 2005
ARLINGTON SECURITIES, INC.
October 19, 1990 - October 3, 1996
VOYA FINANCIAL ADVISORS, INC.
December 24, 1986 - October 23, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
February 29, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
September 9, 1982 - March 8, 1984
UBS FINANCIAL SERVICES INC.
July 17, 1973 - August 17, 1973
AMERIPRISE FINANCIAL SERVICES, LLC
July 17, 1973 - August 17, 1973
IDS LIFE INSURANCE COMPANY
July 17, 1973 - September 27, 1982
AMERICAN EXPRESS FINANCIAL CORPORATION
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
Series 1
Date: 7/13/1973
Registered Representative ExaminationCurrent 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.
