Darren J. Caris

CARIS INVESTMENT PARTNERS

Encinitas, CA

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CRD#: 2400176

Professional summary

Darren J Caris is a registered financial advisor currently at CARIS INVESTMENT PARTNERS located in Encinitas, California.

Darren is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Darren has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Darren J Caris's 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

September 17, 2019 - Present

CARIS INVESTMENT PARTNERS

RIA

CRD#: 305511

Encinitas, CA

Past

September 26, 2018 - September 17, 2019

WESTERN FINANCIAL CORPORATION

RIA

CRD#: 6118

ENCINITAS, CA

Past

August 14, 2018 - September 17, 2019

WESTERN FINANCIAL CORPORATION

CRD#: 6118

SAN DIEGO, CA

Past

November 25, 2015 - September 23, 2016

INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134

AUSTIN, TX

Past

December 21, 2012 - November 26, 2013

B. RILEY & CO., LLC

CRD#: 40355

NEW YORK, NY

Past

February 14, 2002 - December 17, 2012

CARIS & COMPANY, INC.

CRD#: 104235

SAN DIEGO, CA

Past

July 27, 1999 - January 24, 2002

AVIOR CAPITAL, LLC

CRD#: 44732

SAN DIEGO, CA

Past

September 20, 1996 - July 13, 1999

TORREY PINES SECURITIES, INC.

CRD#: 17120

SAN DIEGO, CA

Past

July 14, 1995 - September 19, 1996

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(9/17/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/24/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/2/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/13/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/8/2002

General Securities Principal Examination

Current Firm

CARIS INVESTMENT PARTNERS

CARIS INVESTMENT PARTNERS | CARIS INVESTMENT PARTNERS, INC.

CRD#: 305511 / SEC#:

California

Registered Investment Advisory firm - (9/17/2019 Approved)

Hawaii

Registered Investment Advisory firm - (5/21/2025 Approved)

Texas

Registered Investment Advisory firm - (4/7/2025 Conditional Restricted)

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Contact information

Main Address

Encinitas, CA

Mailing Address

Phone number

(858) 204-7873

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	139
AUM (Assets Under Management)	$ 54,592,412

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

Darren J. Caris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darren J Caris's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN FINANCIAL CORPORATION

WESTERN FINANCIAL CORPORATION

INDEPENDENT INVESTMENT BANKERS, CORP.

B. RILEY & CO., LLC

CARIS & COMPANY, INC.

AVIOR CAPITAL, LLC

TORREY PINES SECURITIES, INC.

GRUNTAL & CO., L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/2018

Series 63

Date: 6/26/1996

SIE

Date: 10/1/2018

Series 55

Date: 2/2/2000

Series 7

Date: 7/13/1995

Series 24

Date: 5/8/2002

Current Firm

CARIS INVESTMENT PARTNERS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CARIS INVESTMENT PARTNERS

TRUST BUT VERIFY

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