Tara L. Burns
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 Leigh Burns, who also goes by Tara Leigh Sass, was a registered financial professional .
Tara is a previously registered financial professional and started their career in finance in 1998. Tara had worked at 8 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2009 - June 3, 2013
VANDERBILT SECURITIES, LLC
March 2, 2006 - November 16, 2007
J.P. MORGAN SECURITIES INC.
April 7, 2005 - March 7, 2006
CHASE INVESTMENT SERVICES CORP.
March 22, 2004 - March 7, 2006
CHASE INVESTMENT SERVICES CORP.
July 8, 2002 - October 13, 2003
J.P. MORGAN SECURITIES LLC
November 13, 2000 - June 21, 2001
PRIME CAPITAL SERVICES, INC.
May 14, 1999 - February 1, 2000
KEYBANC CAPITAL MARKETS INC.
February 18, 1999 - May 14, 1999
KEY INVESTMENTS INC.
January 23, 1998 - January 11, 1999
CITIGROUP GLOBAL MARKETS INC.
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
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
