CAPSTONE INVESTMENT FINANCIAL GROUP, INC.
CRD #150435 SEC #801-70403 COLORADO SPRINGS, CO 719-477-9883
SEC Registered
Total AUM
$37M
Discretionary
$36.1M
Employees
1
Clients
0
Accounts
493
Firm Details
- Organization Type
- Corporation
- State of Formation
- Colorado
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 5, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ZEMANN, ANN, TERESE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ZEMANN, ANN, TERESE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ZEMANN, ANN, TERESE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ZEMANN, ANN, TERESE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ZEMANN, ANN, TERESE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ZEMANN, ANN, TERESE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ZEMANN, ANN, TERESE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHWARTZ, THEODORE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | PRESIDENT | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | PRESIDENT | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | PRESIDENT | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | PRESIDENT | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | PRESIDENT | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | PRESIDENT | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | PRESIDENT | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | PRESIDENT | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | VICE PRESIDENT | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | VICE PRESIDENT | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | VICE PRESIDENT | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | VICE PRESIDENT | D | Control |
| SCHWARTZ, THEODORE, (NMN) | I | VICE PRESIDENT | D | Control |
| STARKEY, KEVIN, MITCHELL | I | VICE PRESIDENT | D | Control |
| STARKEY, KEVIN, MITCHELL | I | VICE PRESIDENT | D | Control |
| STARKEY, KEVIN, MITCHELL | I | PRESIDENT | D | Control |
| STARKEY, KEVIN, MITCHELL | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | D | Control |
| STARKEY, KEVIN, MITCHELL | I | PRESIDENT | D | Control |
| STARKEY, KEVIN, MITCHELL | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | D | Control |
| STARKEY, KEVIN, MITCHELL | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | D | Control |
| LAWRENCE, TIMOTHY, JAMES | I | VICE PRESIDENT | C | Control |
| LAWRENCE, TIMOTHY, JAMES | I | VICE PRESIDENT | C | Control |
| LAWRENCE, TIMOTHY, JAMES | I | VICE PRESIDENT | C | Control |
| LAWRENCE, TIMOTHY, JAMES | I | VICE PRESIDENT | C | Control |
| LAWRENCE, TIMOTHY, JAMES | I | VICE PRESIDENT | C | Control |
| LAWRENCE, TIMOTHY, JAMES | I | VICE PRESIDENT | C | Control |
| LAWRENCE, TIMOTHY, JAMES | I | VICE PRESIDENT | C | Control |
| LAWRENCE, TIMOTHY, JAMES | I | VICE PRESIDENT | C | Control |
| LAWRENCE, TIMOTHY, JAMES | I | VICE PRESIDENT | C | Control |
| SIGRIST, WILLIAM, RAYMOND | I | SECRETARY | B | Control |
| SIGRIST, WILLIAM, RAYMOND | I | SECRETARY/CHIEF COMPLIANCE OFFICER | B | Control |
| SIGRIST, WILLIAM, RAYMOND | I | SECRETARY | B | Control |
| SIGRIST, WILLIAM, RAYMOND | I | SECRETARY | B | Control |
| SIGRIST, WILLIAM, RAYMOND | I | SECRETARY/CHIEF COMPLIANCE OFFICER | B | Control |
| SIGRIST, WILLIAM, RAYMOND | I | SECRETARY/CHIEF COMPLIANCE OFFICER | B | Control |
Registrations
Federal
IA
Jul 5, 2012 REGISTERED
Notice Filings (1)
CO
Address
615 N. NEVADA AVENUECOLORADO SPRINGS, CO 80903
United States
Phone: 719-477-9883