Monte L. Avery
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.
Monte Lew Avery was a registered financial advisor .
Monte is a previously registered financial advisor and started their career in finance in 1981. Monte had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5 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
November 28, 2006 - August 18, 2009
CAPITAL FINANCIAL SERVICES, INC.
April 13, 2004 - August 18, 2009
CAPITAL FINANCIAL SERVICES, INC.
December 22, 1998 - March 31, 2017
INTEGRITY FUNDS DISTRIBUTOR, LLC
March 21, 1995 - October 1, 2004
ND CAPITAL, INC.
August 4, 1993 - January 24, 1995
MORGAN STANLEY DW INC.
July 2, 1992 - December 31, 1993
WOODBURY FINANCIAL SERVICES, INC.
January 27, 1988 - February 24, 1992
INVEST FINANCIAL CORPORATION
October 26, 1982 - January 26, 1988
MORGAN STANLEY DW INC.
June 23, 1981 - October 26, 1982
UBS FINANCIAL SERVICES 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
Series 5
Date: 3/6/1982
Interest Rate Options 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.
