Tara M. Van Etten
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.
Tara Marie Van Etten, who also goes by Tara Marie Sacco, was a registered financial professional .
Tara is a previously registered financial professional and started their career in finance in 1997. Tara had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2012 - June 6, 2014
BROOKFIELD PRIVATE ADVISORS LLC
August 16, 2010 - September 7, 2011
VOYA INVESTMENTS DISTRIBUTOR, LLC
February 17, 2010 - August 16, 2010
ING INVESTMENT MANAGEMENT SERVICES LLC
May 14, 2002 - March 12, 2008
ING INVESTMENT MANAGEMENT SERVICES LLC
July 6, 1999 - January 16, 2002
CIBC WORLD MARKETS CORP.
September 24, 1997 - June 25, 1999
NEUBERGER BERMAN MANAGEMENT LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROOKFIELD PRIVATE ADVISORS LLC
CRD#: 151423 / SEC#: , 8-68370
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
