Darrell A. Stock
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.
Darrell Arnold Stock was a registered financial professional .
Darrell is a previously registered financial professional and started their career in finance in 1988. Darrell had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2011 - May 31, 2019
SEACREST WEALTH MANAGEMENT, LLC
March 27, 2009 - June 3, 2019
PURSHE KAPLAN STERLING INVESTMENTS
April 2, 2007 - March 31, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - March 31, 2009
MORGAN STANLEY & CO. LLC
August 12, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
March 15, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
July 5, 1988 - March 19, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
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
Current Firm
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,945 |
| AUM (Assets Under Management) | $ 1,561,182,425 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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