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Investment Adviser Firm Summary

CAPITAL FINANCIAL SERVICES, INC. (CRD# 8408 / SEC# 8-25203, 801-24253)
Alternate Names: CAPITAL FINANCIAL SERVICES, INC. , CAPITOL CITY INVESTMENTS, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/30/1985

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 11/14/2005
Alaska 03/25/2010
Arizona 09/20/2005
Arkansas 09/01/2005
California 08/30/2005
Colorado 09/20/2005
Connecticut 10/03/2005
Delaware 12/06/2005
District of Columbia 05/07/2007
Florida 08/31/2005
Georgia 09/20/2005
Hawaii 03/25/2010
Idaho 09/20/2005
Illinois 09/01/2005
Indiana 09/01/2005
Iowa 09/02/2005
Kansas 01/06/2006
Kentucky 09/01/2005
Louisiana 10/20/2005
Maine 03/25/2010
Maryland 10/03/2005
Massachusetts 03/25/2010
Michigan 04/30/2001
Minnesota 09/27/2005
Mississippi 06/29/2006
Missouri 09/01/2005
Montana 11/22/2005
Nebraska 10/14/2005
Nevada 01/13/2006
New Hampshire 11/30/2005
New Jersey 01/06/2006
New Mexico 10/20/2005
New York 06/14/2006
North Carolina 09/02/2005
North Dakota 02/25/2002
Ohio 09/20/2005
Oklahoma 10/14/2005
Oregon 01/13/2006
Pennsylvania 09/20/2005
Rhode Island 03/25/2010
South Carolina 09/02/2005
South Dakota 10/28/2008
Tennessee 09/21/2005
Texas 01/15/1998
Utah 04/05/2007
Vermont 10/19/2000
Virginia 10/03/2005
Washington 08/30/2005
West Virginia 10/03/2005
Wisconsin 08/30/2005
Wyoming 03/28/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser