Raoul Brandt, financial advisor Stanley ND
48 score

Raoul Brandt

CRD Number: 1173932
Current Firm: Capital Financial Services, Inc.

Raoul Brandt (CRD# 1173932) is an Investment Advisor Representative working at Capital Financial Services, Inc. in Stanley, ND and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Capital Financial Services, Inc. Minot, ND Dec 2015 - Current 1
Bbh Insurance, Inc. Stanley, ND Jan 1985 - Current 31
Senior Asset Preservation Services Stanley, ND Jan 1985 - Current 31
Investment Centers Of America Stanley, ND Nov 2012 - Nov 2015 3
Capital Financial Services, Inc. Minot, ND May 2006 - Nov 2012 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1983
S66 NASAA Uniform Combined State Law Examination Oct 2012
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:
  • Employer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Raoul K. Brandt
Phone Number: 701-837-9600
Firm Website: https://www.capfin.com
Registered State(s):
  • MT
  • ND
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
48

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