Unclaimed Profile

Ernest D Kappotis

CAPITAL FINANCIAL SERVICES, INC.·MINOT, North Dakota

SIE, Series 7, Series 27, Series 66, Series 99TO21 years registeredCAPITAL FINANCIAL SERVICES, INC.

1821 WEST BURDICK EXPRESSWAY, MINOT, ND 58701CRD# 4871251Firm CRD# 8408

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Ernest D Kappotis · MINOT, ND

Registration

CRD #4871251 · CAPITAL FINANCIAL SERVICES, INC. · 21 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CAPITAL FINANCIAL SERVICES, INC.

DETWILER FENTON & CO.

Apr 2007 – Dec 2010

BOSTON, MA

INVESTORS CAPITAL ADVISORY

Jul 2005 – Jul 2006

LYNNFIELD, MA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 27

Series 66

Series 99TO

Registration record

First registered · July 29, 2005

Years registered · 21

Disclosure History

2021Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

CAPITAL FINANCIAL SERVICES, INC.

CRD 8408 · SEC 801-24253

AUM

$213M

Regulatory assets under management

Employees

1,816 client accounts

Services offered by CAPITAL FINANCIAL SERVICES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at CAPITAL FINANCIAL SERVICES, INC. →

Introduction

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Frequently Asked Questions

What services does Ernest D Kappotis offer?

Ernest D Kappotis specializes in Financial Planning, Investment Management.

What are Ernest D Kappotis's credentials?

Ernest D Kappotis is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Ernest D Kappotis located?

Ernest D Kappotis is based in MINOT, North Dakota, last registered with CAPITAL FINANCIAL SERVICES, INC..

How does Ernest D Kappotis charge for services?

Ernest D Kappotis's firm is compensated through percentage of aum, hourly charges, subscription fees, other: referral fees from other investment advisors.. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CAPITAL FINANCIAL SERVICES, INC.?

CAPITAL FINANCIAL SERVICES, INC. has approximately 81 employees and manages $213M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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