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DP

Darin A. Pritchett

Some features on this profile are disabled
CRD#: 2107075
DP

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.

Darin A Pritchett, who also goes by Darin Acton Pritchett, was a registered financial professional .

Darin is a previously registered financial professional and started their career in finance in 1997. Darin had worked at 9 firms and has passed the Series 65, Series 66, Series 63, Series 6TO, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Darin Acton Pritchett

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 5, 2024 - November 3, 2025

PARK PLACE CAPITAL SECURITIES CORP.

BD
CRD#: 326891
HOMEWOOD, AL
Past

December 16, 2022 - November 3, 2025

PARK PLACE CAPITAL CORPORATION

RIA
CRD#: 107952
Nashville, TN
Past

June 24, 2020 - December 15, 2022

FNEX CAPITAL, LLC

BD
CRD#: 166316
INDIANAPOLIS, IN
Past

January 7, 2019 - June 25, 2020

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

March 3, 2017 - January 22, 2019

LUKEN INVESTMENT ANALYTICS, LLC

RIA
CRD#: 169008
FRANKLIN, TN
Past

August 5, 2015 - December 31, 2016

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

June 26, 2015 - December 31, 2016

HAYS ADVISORY, LLC

RIA
CRD#: 113713
BRENTWOOD, TN
Past

April 13, 2012 - October 14, 2014

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

January 27, 2012 - February 27, 2012

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

September 12, 1997 - January 19, 2012

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/15/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/29/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/16/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/11/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PP
PARK PLACE CAPITAL SECURITIES CORP.
PARK PLACE CAPITAL SECURITIES CORP.

CRD#: 326891 / SEC#: , 8-71138

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2728 19th Place South Suite 140, Homewood, AL 35209
Mailing Address
2728 19th Place South Suite 140, Homewood, AL 35209
Phone number
(800) 459-9084
Established
Delaware since 04/13/2023
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PARK PLACE CAPITAL CORPORATIONOWNER107952
COMBS, MARINA SCCO4536154
FOSTER, MATTHEW HAASCHAIRMAN OF THE BOARD4477994
ORDONIO, PAUL B ESQ.SECRETARY4584143
SCHAPS, MICHAEL ROBERTFINOP/CFO/POO/PFO1892138
SINGLETON, JEFFERY BARTONPRESIDENT2122679

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.

Company Information

PARK PLACE CAPITAL SECURITIES CORP.

CRD#: 326891

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