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Shaun M. Tarzy
ALPHASTAR CAPITAL MANAGEMENT
Boca Raton, FL 33487
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CRD#: 5694211
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Professional summary
Shaun M Tarzy is a registered financial advisor currently at ALPHASTAR CAPITAL MANAGEMENT located in Boca Raton, Florida.
Shaun is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Shaun has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1)Name: Shaun Tarzy Inv rel: Y Add: 10981 Ravel Ct Boca Raton FL 33498 Nature: NonMMLIA Insurance Brokerage Position: Ownership/Agent Start date: 11/13/2013 No. HR/MO: 80 No. HR/MO during sec trading: 0 Describe duties: Individual Life (2) WealthCare Financial - Managing Partner - 5301 N Federal Highway Suite 170, Boca Raton FL 33487 - Investment Related - Selling Insurance Products and Services 50% of the time (80 hours/month) (2)NAME: TARZAN FINANCIAL INV REL: Y ADD: 10981 RAVEL CT. BOCA RATON, FL 33498 NATURE: OTHER TAXES POSITION: OWNER, AGENT START DATE: 7/1/2016 NO HRS/MO: 0 NO HRS/MO TRADING TIME: 0
CRS (Client Relationship Summary) - RIA
Click below to view Shaun M Tarzy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 30, 2018 - Present
ALPHASTAR CAPITAL MANAGEMENT
Office #1: 5301 N Federal Hwy Suite 170, Boca Raton, FL 33487RIA
CRD#: 157423
Boca Raton, FL
Past
October 14, 2010 - August 27, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
FT LAUDERDALE, FL
Past
November 24, 2009 - August 27, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
FT LAUDERDALE, FL
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".
AC
ALPHASTAR CAPITAL MANAGEMENT
ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC
CRD#: 157423 / SEC#: 801-72361
RIA
Registered Investment Advisory firm - (5/18/2011 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(1/14/2019)
IAR
Florida(8/30/2018)
IAR
Texas(6/2/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AC
ALPHASTAR CAPITAL MANAGEMENT
ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC
CRD#: 157423 / SEC#: 801-72361
RIA
Registered Investment Advisory firm - (5/18/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
19600 West Catawba Avenue Suite B200, Cornelius, NC 28031
Mailing Address
Phone number
(855) 340-2514
Established
Firm type
Fiscal year end
# of Employees
124
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,592 |
| AUM (Assets Under Management) | $ 1,841,154,148 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2023 | ||
| 06/27/2023 | ||
| 01/24/2023 |
Red Flags
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