Herminia SitterCRD Number: 1247589
Current Firm: Capital Financial Services, Inc.
Herminia Sitter (CRD# 1247589) is an Investment Advisor Representative working at Capital Financial Services, Inc. in The Woodlands, TX and has over 15 years of experience in the finance industry.
Linscomb & Williams
Raymond James Financial Services Advisors, Inc.
Waterway Wealth Management, LLC
|Capital Financial Services, Inc.||Minot, ND||Sep 2005 - Current||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 2002|
|S66||NASAA Uniform Combined State Law Examination||Sep 2003|
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:
- Judgments / Liens
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