RAOUL KELLY BRANDT is currently employed as a Broker and/or Investment Adviser at CAPITAL FINANCIAL SERVICES, INC. located at 408 S Main St, Stanley, ND, 58784.
RAOUL KELLY BRANDT has worked at CAPITAL FINANCIAL SERVICES, INC. since December 04, 2015
Disclosure History
RAOUL KELLY BRANDT has 2 Disclosure Event(s).
Date: April 30, 2001 Category: Employment Separation After Allegations Firm Name: HUNTINGDON SECURITIES CORPORATION Termination Type: Voluntary Resignation Allegations: ALLEDGED BROKER SOLD ANNUITY PRODUCTS OUTSIDE OF COMPANY.HUNTINGDON TURNED MATTER OVER TO THE NASD. Broker Comment: NASD COMPLETED ITS INQUIRY INTO THE CIRCUMSTANCES DISCLOSED ON THE U-5. EXAMINATION NO. E04010387. BASED ON THE INQUIRY IT WAS DETERMINED TO CLOSE THE FILE ON THIS MATTER.
Date: November 15, 1996 Category: Regulatory Initiated By: NORTH DAKOTA SECURITIES COMMISSIONER Allegations: RAOUL BRANDT OFFERED UNREGISTERED SECURITIESIN NORTH DAKOTA IN VIOLATION OF NORTH DAKOTA LAW. Resolution: Consent SanctionDetails: Sanctions: Cease and Desist/Injunction Sanction Details: CONSENT ORDER WAS ISSUED WHICH IMPOSED A CIVILPENALTY OF $500 FOR THE VIOLATIONS. Broker Comment: NOT PROVIDED
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for RAOUL KELLY BRANDT, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.