Darren R. Mazzarella
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.
Darren Robert Mazzarella was a registered financial professional .
Darren is a previously registered financial professional and started their career in finance in 1994. Darren had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2012 - August 29, 2012
SW FINANCIAL
December 9, 2009 - May 3, 2010
PHD CAPITAL
November 28, 2007 - December 14, 2007
GILFORD SECURITIES INCORPORATED
November 17, 2003 - February 16, 2007
GUNNALLEN FINANCIAL, INC
June 29, 2000 - November 12, 2001
GILFORD SECURITIES INCORPORATED
March 1, 1999 - July 6, 2000
SHARPE CAPITAL, INC.
July 10, 1998 - November 11, 1998
DALTON KENT SECURITIES GROUP, INC.
January 15, 1997 - April 16, 1997
DUKE & CO., INC.
January 20, 1996 - January 2, 1997
SMITH, BENTON & HUGHES, INC.
March 1, 1994 - May 4, 1995
DUKE & CO., INC.
January 4, 1994 - February 18, 1994
RUSSO SECURITIES 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
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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