Tara Ann Bartle
Professional Summary
Tara Ann Bartle, who also goes by Tara Ann Diggs, is a registered financial advisor currently at CAPSTONE PARTNERS located in Philadelphia, Pennsylvania. Tara is registered as a RR (Registered Representative) and started their career in finance in 2017. Tara has worked at 2 firms and has passed the Series 7TO, SIE, Series 79 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tara Ann Diggs
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
8 years in the financial services industry
Current & Past Employments
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Current Firm
CAPSTONE CAPITAL MARKETS LLC | CAPSTONE PARTNERS | CAPSTONE HEADWATERS
Contact Information
Main Address
10 Post Office Square Suite 800n, Boston, MA 02109Mailing Address
10 Post Office Square Suite 800n, Boston, MA 02109Phone Number
(617) 619-3300Established
Delaware since 04/08/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (19 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE CORPORATE FINANCE LLC | DIRECT OWNER | — |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| FERRARA, JOHN MARIO II | PRESIDENT | 2097226 |
| HOHENSTEIN, THOMAS | CHIEF FINANCIAL OFFICER | 3123815 |
| JANSON, PAUL EDWARD | DIRECTOR | 4992234 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | EXECUTIVE MANAGING DIRECTOR | 6419334 |
| SZWAGULAK, JOHN | CHIEF COMPLIANCE OFFICER | 4033023 |
| VALDIVIA, SERENA | AML OFFICER | 7790899 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Dec 2017About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Tara Ann Bartle's CRS (Customer Relationship Summary).
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