Robert F. Spangler
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.
Robert Francis Spangler SR, who also goes by Robert Francis Spangler, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2007 - July 31, 2019
CAPITAL FINANCIAL SERVICES, INC.
January 4, 2007 - July 31, 2019
CAPITAL FINANCIAL SERVICES, INC.
December 20, 2002 - December 31, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - December 31, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 10, 1996 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
January 16, 1990 - December 21, 1995
D & D DISCOUNT BROKERAGE SERVICES
September 10, 1987 - January 9, 1990
KEOGLER, MORGAN & COMPANY, INC.
August 4, 1982 - August 29, 1987
DOMIK CORP.
June 23, 1980 - August 18, 1982
DALEY & COMPANY
July 7, 1977 - August 21, 1979
E. F. HUTTON & COMPANY INC
May 5, 1977 - August 20, 1977
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
March 11, 1969 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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: 3/10/1969
Registered Representative ExaminationSeries 8
Date: 1/14/1984
General Securities Sales Supervisor Examination (Options Module & General Module)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.
