Tara N. Soetaert
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 Nichole Soetaert, who also goes by Tara Nichole Schulze, was a registered financial professional .
Tara is a previously registered financial professional and started their career in finance in 2010. Tara had worked at 3 firms and has passed the Series 63, SIE 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
September 12, 2013 - June 30, 2016
COUNTRY CLUB FINANCIAL SERVICES, LLC
June 13, 2013 - July 30, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 24, 2010 - June 10, 2013
SECURIAN FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COUNTRY CLUB FINANCIAL SERVICES, LLC
CRD#: 29807 / SEC#: 801-61022, 8-44574
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COUNTRY CLUB BANK | PARENT OF APPLICANT | |
| DERSHEMVEGA, SANDRA LYNNE | PRESIDENT, CCO, FINANCIAL OPERATIONS PRINCIPAL, DIRECTOR | 2702481 |
Disclosures
| Regulatory Event | 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.
