Darren D. Vita
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 Denis Vita, who also goes by Darren D VIta, was a registered financial advisor .
Darren is a previously registered financial advisor and started their career in finance in 1989. Darren had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
January 11, 2017 - April 14, 2017
ALLSTATE FINANCIAL SERVICES, LLC
September 24, 2014 - December 19, 2014
M HOLDINGS SECURITIES, INC.
September 23, 2014 - November 25, 2014
THE L. WARNER COMPANIES, INC
March 6, 2012 - March 5, 2013
SIGNATOR INVESTORS, INC.
February 15, 2012 - March 5, 2013
SIGNATOR INVESTORS, INC.
June 11, 2009 - January 17, 2012
MML INVESTORS SERVICES, LLC
June 11, 2009 - January 17, 2012
MML INVESTORS SERVICES, LLC
October 9, 2007 - May 28, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 15, 2006 - May 28, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 4, 1995 - August 7, 1997
ADVANTAGE CAPITAL CORPORATION
September 4, 1991 - January 17, 1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 26, 1989 - August 15, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 26, 1989 - August 15, 1991
SIGNATOR INVESTORS, 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
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
