John Mortimer, financial advisor Elm Grove WI
83 score

John Mortimer

CRD Number: 1337499
Current Firm: Capital Financial Services, Inc.

John Mortimer (CRD# 1337499) is an Investment Advisor Representative working at Capital Financial Services, Inc. in Elm Grove, WI and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Capital Financial Services, Inc. Minot, ND Jan 2006 - Current 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1985
S65 NASAA Investment Advisors Law Examination Dec 2005
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for John K. Mortimer
Phone Number: 701-837-9600
Firm Website: https://www.capfin.com
Registered State(s):
  • WI
By the Numbers
  • Total Assets Under Management
    142
    MILLIONS
  • Total Number of Accounts
    737
    ACCOUNTS
  • Average Account Value
    $192,622
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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