Unclaimed Profile

Nicole Justina Bertsch

CAPITAL FINANCIAL SERVICES, INC.·MINOT, North Dakota

SIE, Series 6, Series 6TO, Series 7, Series 7TO, Series 24, Series 26, Series 6619 years registeredCAPITAL FINANCIAL SERVICES, INC.

1821 WEST BURDICK EXPRESSWAY, MINOT, ND 58701CRD# 5204006Firm CRD# 8408

Profile Verification

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

Identity

Nicole Justina Bertsch · MINOT, ND

Registration

CRD #5204006 · CAPITAL FINANCIAL SERVICES, INC. · 19 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CAPITAL FINANCIAL SERVICES, INC.

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

Aug 2021 – Jan 2022

Minot, ND

CAPITAL FINANCIAL SERVICES, INC.

Oct 2006 – Aug 2019

Minot, ND

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 6TO

Series 7

Series 7TO

Series 24

Series 26

Series 66

Registration record

First registered · October 26, 2006

Years registered · 19

Disclosure History

2020Customer Dispute·Settled

2019Customer Dispute·Settled

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. 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 Nicole Justina Bertsch offer?

Nicole Justina Bertsch specializes in Financial Planning, Investment Management.

What are Nicole Justina Bertsch's credentials?

Nicole Justina Bertsch is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Nicole Justina Bertsch located?

Nicole Justina Bertsch is based in MINOT, North Dakota, last registered with CAPITAL FINANCIAL SERVICES, INC..

How does Nicole Justina Bertsch charge for services?

Nicole Justina Bertsch'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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