Theodore (. Schwartz

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CRD#: 2436391

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Theodore (nmn) Schwartz, who also goes by Ted Schwartz, Theodore Schwartz, was a registered financial professional .

Theodore is a previously registered financial professional and started their career in finance in 1994. Theodore had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 51, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ted Schwartz | Theodore Schwartz

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 6, 2015 - May 13, 2020

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

RIA

CRD#: 122575

Colorado Springs, CO

Past

September 15, 2009 - April 1, 2015

CAPSTONE INVESTMENT FINANCIAL GROUP, INC.

RIA

CRD#: 150435

COLORADO SPRINGS, CO

Past

August 1, 2006 - October 15, 2009

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

COLORADO SPRINGS, CO

Past

August 1, 2006 - October 15, 2009

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

COLORADO SPRINGS, CO

Past

April 21, 1999 - August 2, 2006

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

COLORADO SPRINGS, CO

Past

March 1, 1999 - August 2, 2006

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

COLORADO SPRINGS, CO

Past

January 1, 1999 - December 1, 2004

CAPSTONE INVESTMENT ADVISORY

RIA

CRD#: 113690

COLORADO SPRINGS, CO

Past

March 12, 1997 - March 3, 1999

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

February 6, 1995 - March 18, 1997

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

February 8, 1994 - February 9, 1995

MONTANO SECURITIES CORPORATION

CRD#: 7887

ORANGE, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC | DUNN WARREN INVESTMENT ADVISORS, LLC | DUNN CAPITAL MANAGEMENT, LLC | DUNN CAPITAL MANAGEMENT

CRD#: 122575 / SEC#: 801-67699

RIA

Registered Investment Advisory firm - (4/17/2007 Approved)

Colorado

Registered Investment Advisory firm - (5/2/2007 Terminated)

Florida

Registered Investment Advisory firm - (4/24/2007 Terminated)

Texas

Registered Investment Advisory firm - (4/20/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/30/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/4/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/7/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/28/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/14/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 11/4/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC | DUNN WARREN INVESTMENT ADVISORS, LLC | DUNN CAPITAL MANAGEMENT, LLC | DUNN CAPITAL MANAGEMENT

CRD#: 122575 / SEC#: 801-67699

RIA

Registered Investment Advisory firm - (4/17/2007 Approved)

Colorado

Registered Investment Advisory firm - (5/2/2007 Terminated)

Florida

Registered Investment Advisory firm - (4/24/2007 Terminated)

Texas

Registered Investment Advisory firm - (4/20/2007 Terminated)

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Contact information

Main Address

115 West Salori Court, Webster, NY 14580

Mailing Address

Phone number

(719) 477-9883

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2A APPENDIX 1 AND 2B (3/3/2025)

Regulatory assets under management

Total Number of Accounts	881
AUM (Assets Under Management)	$ 136,583,840

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Theodore (. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPSTONE INVESTMENT FINANCIAL GROUP, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

CAPSTONE INVESTMENT ADVISORY

SUNAMERICA SECURITIES, INC.

QUEST CAPITAL STRATEGIES, INC.

MONTANO SECURITIES CORPORATION

Primary Firm SEC Registration

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/30/1998

Series 63

Date: 2/4/1994

Series 7

Date: 2/7/1994

Series 51

Date: 3/28/2003

Series 24

Date: 10/14/1999

Series 8

Date: 11/4/1996

Current Firm

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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