Darvin A. Klarin

TRADITION SECURITIES AND DERIVATIVES LLC

New York, NY 10005

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CRD#: 2040096

Professional summary

Darvin Ante Klarin, who also goes by Darvin A Klarin, is a registered financial professional currently at TRADITION SECURITIES AND DERIVATIVES LLC located in New York, New York.

Darvin is registered as a RR (Registered Representative) and started their career in finance in 1990. Darvin has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Darvin A Klarin

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 Darvin Ante Klarin'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

November 5, 2018 - Present

TRADITION SECURITIES AND DERIVATIVES LLC

Office #1: 32 Old Slip 28th Floor, New York, NY 10005

CRD#: 28269

New York, NY

Past

June 16, 2016 - December 31, 2016

PFS INVESTMENTS INC.

CRD#: 10111

HASBROUCK HEIGHTS, NJ

Past

November 2, 2009 - June 17, 2014

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

NEW YORK, NY

Past

December 5, 2008 - July 27, 2009

MCAP LLC

CRD#: 139515

NEW YORK, NY

Past

May 10, 2006 - February 13, 2007

MIDWOOD SECURITIES, INC.

CRD#: 21520

NEW YORK, NY

Past

November 18, 1999 - November 5, 2004

INSTITUTIONAL EDGE, L.L.C.

CRD#: 46857

ENGLWOOD CLIFFS, NJ

Past

September 9, 1997 - November 4, 1999

ASIEL & CO. LLC

CRD#: 1112

NEW YORK, NY

Past

December 5, 1996 - September 4, 1997

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

April 22, 1992 - February 22, 1996

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762

NEW YORK, NY

Past

March 27, 1991 - September 12, 1991

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 14, 1990 - April 22, 1991

PRINCETON FINANCIAL GROUP, INC.

CRD#: 14597

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

California
(11/5/2018)

Colorado
(11/5/2018)

Connecticut
(11/5/2018)

New Jersey
(11/5/2018)

New York
(11/5/2018)

Utah
(11/5/2018)

Wisconsin
(11/5/2018)

Exams

State Security Law Exam

Series 63

Date: 11/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/9/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/29/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/5/2000

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269 / SEC#: , 8-43559

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

32 Old Slip 28th Floor, New York, NY 10005

Mailing Address

32 Old Slip 28th Floor, New York, NY 10005

Phone number

(212) 791-4500

Established

Delaware since 03/30/1989

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (44 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TRADITION AMERICA HOLDINGS INC. ("TAH")	MEMBER
BACCALA, RAYMOND CHARLES	PRESIDENT	1000495
BRISEBOIS, FRANCOIS	MANAGER	6613329
GANGI, JOHN JOSEPH	PRINCIPAL FINANCIAL OFFICER	2909843
LEIBOWITZ, MICHAEL SAUL MR.	MANAGER	5187937
MARTUSCELLO, MICHAEL HENRY II	CHIEF COMPLIANCE OFFICER - FIXED INCOME	5359170
MEROLA, DAVID SCOTT	CHIEF COMPLIANCE OFFICER - EQUITIES/OPTIONS	3154976
RICCIARDI, JUDITH ANN	MANAGER, CHIEF FINANCIAL OFFICER, SECRETARY, TREASURER, FINOP, PRINCIPAL OPERATIONS OFFICER	2260346
ROSENSHEIN, LARRY NMN	MANAGER	1534635
WOSTYN, WILLIAM PIERRE	MANAGER	5608164

Disclosures

Regulatory Event

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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Firm Stability Insights

Darvin A. Klarin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darvin Ante Klarin's CRS (Customer Relationship Summary).

Certified licenses

Experience

PFS INVESTMENTS INC.

TRADITION SECURITIES AND DERIVATIVES LLC

MCAP LLC

MIDWOOD SECURITIES, INC.

INSTITUTIONAL EDGE, L.L.C.

ASIEL & CO. LLC

QUICK & REILLY, INC.

TP ICAP GLOBAL MARKETS AMERICAS LLC

CITIGROUP GLOBAL MARKETS INC.

PRINCETON FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/26/1990

Series 57TO

Date: 1/2/2023

SIE

Date: 12/31/2016

Series 55

Date: 4/9/1999

Series 7

Date: 11/29/1990

Series 24

Date: 2/5/2000

FINRA

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

Current Firm

TRADITION SECURITIES AND DERIVATIVES LLC

Contact information

FINRA licenses (44 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TRADITION SECURITIES AND DERIVATIVES LLC

TRUST BUT VERIFY

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