Storm F. Mcneil
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.
Storm Fuller R. Mcneil was a registered financial professional .
Storm is a previously registered financial professional and started their career in finance in 2000. Storm had worked at 4 firms and has passed the Series 66, Series 63, SIE, 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
December 20, 2010 - April 5, 2018
CAPITAL FINANCIAL SERVICES, INC.
December 20, 2010 - April 5, 2018
CAPITAL FINANCIAL SERVICES, INC.
March 27, 2008 - November 30, 2010
WOODBURY FINANCIAL SERVICES, INC.
March 27, 2008 - November 30, 2010
WOODBURY FINANCIAL SERVICES, INC.
March 7, 2007 - March 28, 2008
CAPITAL FINANCIAL SERVICES, INC.
March 7, 2007 - March 28, 2008
CAPITAL FINANCIAL SERVICES, INC.
June 1, 2006 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
June 1, 2006 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
February 25, 2005 - June 1, 2006
U.S. BANCORP INVESTMENTS, INC.
March 14, 2000 - June 1, 2006
U.S. BANCORP INVESTMENTS, 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.
