Dale L. Hill
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.
Dale Lee Roy Hill, who also goes by Dale Leeroy Hill, was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1980. Dale had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2007 - December 31, 2015
CAPITAL FINANCIAL SERVICES, INC.
March 7, 2007 - August 16, 2016
CAPITAL FINANCIAL SERVICES, INC.
April 28, 2004 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
January 13, 2004 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
May 13, 1996 - December 31, 2003
SUNAMERICA SECURITIES, INC.
January 1, 1996 - May 14, 1996
FSC SECURITIES CORPORATION
November 30, 1994 - January 1, 1996
ANDOVER SECURITIES, INC.
June 18, 1989 - November 23, 1994
SUNAMERICA SECURITIES, INC.
August 28, 1981 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
March 3, 1980 - September 14, 1981
WADDELL & REED
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: 2/22/1980
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.
