Darin R. Lott
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.
Darin Randolph Lott was a registered financial professional .
Darin is a previously registered financial professional and started their career in finance in 1986. Darin had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2014 - July 19, 2016
TD AMERITRADE, INC.
December 19, 2000 - December 4, 2014
CHARLES SCHWAB & CO., INC.
May 7, 1999 - August 17, 2000
PARAGON FINANCIAL GROUP, INCORPORATED
June 5, 1989 - June 9, 1997
CHARLES SCHWAB & CO., INC.
November 2, 1987 - December 7, 1988
AMSOUTH INVESTMENT SERVICES, INC.
May 22, 1986 - November 2, 1987
UNITED FINANCIAL INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 12/3/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
