Raoul BrandtCRD 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.
H.d. Vest Advisory Services, Inc.
Investment Centers Of America, Inc.
|Capital Financial Services, Inc.||Minot, ND||Dec 2015 - Current||1|
|Bbh Insurance, Inc.||Stanley, ND||Jan 1985 - Current||32|
|Senior Asset Preservation Services||Stanley, ND||Jan 1985 - Current||32|
|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|
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
Total Assets Under Management142MILLIONS
Total Number of Accounts737ACCOUNTS
Average Account Value$192,622
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
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