Michael G. Eathorne
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 Glenn Eathorne was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 2000. Michael had worked at 7 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2005 - June 3, 2010
CAPITAL FINANCIAL SERVICES, INC.
October 14, 2005 - June 3, 2010
CAPITAL FINANCIAL SERVICES, INC.
December 18, 2003 - October 17, 2005
JESUP & LAMONT ADVISORS
December 4, 2003 - October 17, 2005
EMPIRE FINANCIAL GROUP, INC.
July 25, 2003 - December 11, 2003
FREEDOM ASSET MANAGEMENT, INC.
March 5, 2003 - December 3, 2003
FREEDOM FINANCIAL, INC.
February 26, 2002 - January 15, 2003
MIDAMERICA FINANCIAL SERVICES, INC.
December 7, 2000 - November 30, 2001
INVESTMENT CENTERS OF AMERICA, 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.
