Darcy P. Searl

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CRD#: 1056627

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.

Darcy Parria Searl, who also goes by Darcy P Breaux, Darcy Parria Cottingham, was a registered financial professional .

Darcy is a previously registered financial professional and started their career in finance in 1982. Darcy had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 8 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Darcy P Breaux | Darcy Parria Cottingham

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 20, 2006 - December 31, 2019

FINANCIAL CONSULTANTS GROUP INC

RIA

CRD#: 108062

CUMMING, GA

Past

January 4, 1999 - November 8, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Cumming, GA

Past

January 31, 1997 - December 31, 1998

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 8, 1994 - January 31, 1997

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

October 20, 1982 - August 17, 1992

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

FINANCIAL CONSULTANTS GROUP INC

FINANCIAL CONSULTANTS GROUP INC | FOUNTAIN FINANCIAL ADVISORS

CRD#: 108062 / SEC#: 801-123013

RIA

Registered Investment Advisory firm - (1/10/2022 Approved)

Florida

Registered Investment Advisory firm - (4/5/2022 Terminated)

Georgia

Registered Investment Advisory firm - (4/18/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (4/12/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/7/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/29/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/8/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 7/7/1986

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 8/2/1985

Registered Options Principal Examination

Current Firm

FINANCIAL CONSULTANTS GROUP INC

FINANCIAL CONSULTANTS GROUP INC | FOUNTAIN FINANCIAL ADVISORS

CRD#: 108062 / SEC#: 801-123013

RIA

Registered Investment Advisory firm - (1/10/2022 Approved)

Florida

Registered Investment Advisory firm - (4/5/2022 Terminated)

Georgia

Registered Investment Advisory firm - (4/18/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (4/12/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2022 Terminated)

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Contact information

Main Address

1080 Sanders Road Suite 300, Cumming, GA 30041

Mailing Address

Phone number

(770) 627-2121

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV BROCHURE PART 2A (3/10/2025)

Regulatory assets under management

Total Number of Accounts	227
AUM (Assets Under Management)	$ 139,886,174

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.

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Firm Stability Insights

Darcy P. Searl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

OSAIC WEALTH, INC.

KEOGLER, MORGAN & COMPANY, INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

FINANCIAL CONSULTANTS GROUP INC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/7/1996

Series 63

Date: 9/29/1982

SIE

Date: 11/8/2017

Series 7

Date: 10/16/1982

Series 8

Date: 7/7/1986

Series 4

Date: 8/2/1985

Current Firm

FINANCIAL CONSULTANTS GROUP INC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL CONSULTANTS GROUP INC

TRUST BUT VERIFY

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