Darrel M. Cruz
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.
Darrel Michael Cruz was a registered financial professional .
Darrel is a previously registered financial professional and started their career in finance in 1994. Darrel had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2008 - January 29, 2015
SCOTTSDALE CAPITAL ADVISORS CORP
January 9, 2007 - May 9, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
January 24, 2006 - March 8, 2006
WELLS FARGO INVESTMENTS, LLC
May 25, 2005 - July 7, 2005
CITIGROUP GLOBAL MARKETS INC.
July 14, 1994 - May 15, 2000
COAST PARTNERS FINANCIAL CORPORATION
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
SCOTTSDALE CAPITAL ADVISORS CORP
CRD#: 118786 / SEC#: 801-60965, 8-53685
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
