Darla Kay Sipolt
Professional Summary
Darla Kay Sipolt, who also goes by Darla Kay Kemmerer, Darla Kemmerer Lane, Darla Kay Sipolt, Darla Sipolt, is a registered financial advisor currently at AW SECURITIES located in Folsom, California. Darla is registered as a RR (Registered Representative) and started their career in finance in 1996. Darla has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Darla Kay Kemmerer, Darla Kemmerer Lane, Darla Kay Sipolt, Darla Sipolt
Similar Advisors
SPECTRUM WEALTH ADVISORY GROUP, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SPECTRUM WEALTH ADVISORY GROUP, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SPECTRUM WEALTH ADVISORY GROUP, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
SPECTRUM WEALTH ADVISORY GROUP, LLC
Years of Experience
30 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
SPECTRUM WEALTH ADVISORY GROUP, LLC
Current Firm
AW SECURITIES | PATHWAY RETIREMENT NETWORK | HANSON MCCLAIN SECURITIES | HANSON MCCLAIN RETIREMENT NETWORK, LP | HANSON MCCLAIN RETIREMENT NETWORK, LLC | HANSON MCCLAIN RETIREMENT NETWORK, L.P. | HANSON MCCLAIN
Contact Information
Main Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630Mailing Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630Phone Number
(916) 482-2196Established
Delaware since 10/26/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Medium# of Employees
10FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Similar Advisors
SPECTRUM WEALTH ADVISORY GROUP, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SPECTRUM WEALTH ADVISORY GROUP, LLC
State Registrations and Notice Filings
(7/25/2022)
(7/25/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Mar 1998SRO Registrations
Similar Advisors
SPECTRUM WEALTH ADVISORY GROUP, LLC
CRS (Client Relationship Summary) - BD
Click below to view Darla Kay Sipolt's CRS (Customer Relationship Summary).
Similar Advisors
SPECTRUM WEALTH ADVISORY GROUP, LLC