Darren M. Wolberg
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.
Darren Matthew Wolberg, who also goes by Darren M Wolberg, was a registered financial professional .
Darren is a previously registered financial professional and started their career in finance in 1988. Darren had worked at 19 firms and has passed the Series 63, Series 72, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2023 - December 14, 2023
OPPENHEIMER & CO. INC.
December 15, 2020 - December 6, 2022
AEGIS CAPITAL CORP.
April 1, 2019 - December 10, 2020
ACADEMY SECURITIES, INC.
January 4, 2017 - March 29, 2019
FALCON SQUARE CAPITAL, LLC
December 15, 2014 - December 23, 2016
ACADEMY SECURITIES, INC.
February 20, 2014 - September 29, 2014
SEAPORT GLOBAL SECURITIES LLC
March 1, 2013 - March 26, 2013
SANTANDER US CAPITAL MARKETS LLC
April 18, 2012 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
January 4, 2010 - February 29, 2012
KEYBANC CAPITAL MARKETS INC.
May 15, 2008 - January 4, 2010
MORGAN JOSEPH TRIARTISAN LLC
March 14, 2007 - April 1, 2008
SCOTT & STRINGFELLOW, LLC
December 1, 2005 - March 19, 2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 17, 1998 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
October 19, 1995 - August 24, 1998
GLEACHER & COMPANY SECURITIES, INC.
August 27, 1994 - May 15, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
October 26, 1993 - June 16, 1994
PRINTON, KANE GROUP, INC.
September 30, 1991 - October 13, 1993
R.W.PRESSPRICH & CO.
March 17, 1990 - September 19, 1991
RICKEL & ASSOCIATES, INC.
January 23, 1990 - February 5, 1990
NATIVE NATIONS SECURITIES, INC.
October 19, 1988 - December 19, 1989
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
