Darrin D. Spencer
Professional summary
Darrin Duane Spencer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Darrin is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Darrin had worked at 3 firms, which includes SCOTTRADE INC., BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., AMERIPRISE ADVISOR SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 1995 - February 22, 2001
SCOTTRADE, INC.
February 7, 1995 - March 23, 1995
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
August 13, 1993 - February 9, 1995
AMERIPRISE ADVISOR SERVICES, 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
Series 55
Date: 2/11/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 2/2/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
Red Flags
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