Darla K. Sipolt

AW SECURITIES

Folsom, CA 95630

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CRD#: 2031939

Professional summary

Darla Kay Sipolt, who also goes by Darla Kay Kemmerer, Darla Kemmerer Lane, Darla Kay Sipolt, Darla Sipolt, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Darla Kay Kemmerer | Darla Kemmerer Lane | Darla Kay Sipolt | Darla Sipolt

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darla Kay Sipolt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 25, 2022 - Present

AW SECURITIES

Office #1: 340 Palladio Pkwy Suite 501, Folsom, CA 95630

CRD#: 103747

Folsom, CA

Past

November 5, 2020 - July 19, 2022

GOLDMAN SACHS CUSTODY SOLUTIONS

CRD#: 48015

Phoenix, AZ

Past

October 30, 2020 - November 5, 2020

GOLDMAN SACHS & CO. LLC

CRD#: 361

SAN FRANCISCO, CA

Past

May 30, 2006 - December 10, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Phoenix, AZ

Past

November 30, 2005 - October 21, 2020

TD AMERITRADE, INC.

RIA

CRD#: 7870

PHOENIX, AZ

Past

April 2, 2003 - October 21, 2020

TD AMERITRADE, INC.

CRD#: 7870

PHOENIX, AZ

Past

January 9, 1996 - February 11, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(7/25/2022)

California
(7/25/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/14/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/8/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/8/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 3/20/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

AW SECURITIES

CRD#: 103747 / SEC#: 801-69038, 8-52250

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

340 Palladio Pkwy Suite 501, Folsom, CA 95630

Mailing Address

340 Palladio Pkwy Suite 501, Folsom, CA 95630

Phone number

(916) 482-2196

Established

Delaware since 10/26/2020

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (1/17/2025)

Direct owners and executive officers

Name	Position	CRD#
ALLWORTH FINANCIAL GROUP, L.P.	GENERAL PARTNER
BEATON, DANIEL STEWART	FINOP	4240769
FRIZE, BERNARD JOSEPH JR	CHIEF COMPLIANCE OFFICER - BD	2366022
GAMBLE, COREY C	CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO	4919573
GREENBERG, BARRY YALE	CHIEF LEGAL COUNSEL	5863733
GRIGSBY, GARY LAWSON	CEO	3167632
TAYLOR, KRISTIAN LEIGH	VICE PRESIDENT- OPERATIONS	4163800

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.

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Advisor Monitoring

Firm Stability Insights

Darla K. Sipolt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darla Kay Sipolt's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS CUSTODY SOLUTIONS

GOLDMAN SACHS & CO. LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2005

Series 63

Date: 5/8/1996

SIE

Date: 10/1/2018

Series 7

Date: 1/8/1996

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 3/20/1998

FINRA

Current Firm

AW SECURITIES

Contact information

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

AW SECURITIES

TRUST BUT VERIFY

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