Unclaimed Profile

Theodore (nmn) Schwartz

CAPSTONE INVESTMENT FINANCIAL GROUP, INC.·COLORADO SPRINGS, Colorado

Series 7, Series 8, Series 24, Series 51, Series 63, Series 65Clean record27 years registeredCAPSTONE INVESTMENT FINANCIAL GROUP, INC.

615 N. NEVADA AVENUE, COLORADO SPRINGS, CO 80903CRD# 2436391Firm CRD# 150435

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Theodore (nmn) Schwartz · COLORADO SPRINGS, CO

Registration

CRD #2436391 · CAPSTONE INVESTMENT FINANCIAL GROUP, INC. · 27 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CAPSTONE INVESTMENT FINANCIAL GROUP, INC.

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

Jan 2015 – May 2020

Colorado Springs, CO

CAPSTONE INVESTMENT FINANCIAL GROUP, INC.

Sep 2009 – Apr 2015

COLORADO SPRINGS, CO

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Aug 2006 – Oct 2009

COLORADO SPRINGS, CO

COMMONWEALTH FINANCIAL NETWORK

Apr 1999 – Aug 2006

COLORADO SPRINGS, CO

CAPSTONE INVESTMENT ADVISORY

Jan 1999 – Dec 2004

COLORADO SPRINGS, CO

Registrations & Exams

FINRA examinations passed

Series 7

Series 8

Series 24

Series 51

Series 63

Series 65

Registration record

First registered · January 1, 1999

Years registered · 27

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CAPSTONE INVESTMENT FINANCIAL GROUP, INC.

CRD 150435 · SEC 801-70403

AUM

$37M

Regulatory assets under management

Employees

493 client accounts

Services offered by CAPSTONE INVESTMENT FINANCIAL GROUP, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at CAPSTONE INVESTMENT FINANCIAL GROUP, INC. →

Introduction

Speak with Theodore

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Theodore is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in COLORADO SPRINGS?

Browse all registered financial advisors in COLORADO SPRINGS, Colorado or claim this profile if it's yours.

Browse COLORADO SPRINGS Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Theodore (nmn) Schwartz offer?

Theodore (nmn) Schwartz specializes in Financial Planning, Investment Management, Wealth Management.

What are Theodore (nmn) Schwartz's credentials?

Theodore (nmn) Schwartz is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Theodore (nmn) Schwartz located?

Theodore (nmn) Schwartz is based in COLORADO SPRINGS, Colorado, last registered with CAPSTONE INVESTMENT FINANCIAL GROUP, INC..

How does Theodore (nmn) Schwartz charge for services?

Theodore (nmn) Schwartz's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CAPSTONE INVESTMENT FINANCIAL GROUP, INC.?

CAPSTONE INVESTMENT FINANCIAL GROUP, INC. has approximately 1 employees and manages $37M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →