Darren J. Silverman
Professional summary
Darren Jason Silverman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Darren is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Darren had worked at 9 firms, which includes CARLIN EQUITIES LLC, RUMSON CAPITAL LLC, PREFERRED SECURITIES GROUP INC., BARRON CHASE SECURITIES INC., GLOBAL FINANCIAL GROUP INC., INVESTORS ASSOCIATES INC., ROYAL PALM INVESTMENTS LTD., THE HERITAGE GROUP INC., JOSEPH STEVENS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2001 - June 3, 2002
CARLIN EQUITIES, LLC
September 14, 2000 - November 10, 2000
RUMSON CAPITAL, LLC
January 11, 2000 - April 5, 2000
CARLIN EQUITIES, LLC
July 11, 1998 - October 5, 1998
PREFERRED SECURITIES GROUP, INC.
March 10, 1998 - June 4, 1998
BARRON CHASE SECURITIES, INC.
March 26, 1997 - February 26, 1998
GLOBAL FINANCIAL GROUP, INC.
April 22, 1996 - April 5, 1997
INVESTORS ASSOCIATES, INC.
April 1, 1996 - April 19, 1996
ROYAL PALM INVESTMENTS, LTD.
January 24, 1996 - March 6, 1996
THE HERITAGE GROUP, INC.
January 30, 1995 - June 15, 1995
JOSEPH STEVENS & CO., 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
CARLIN EQUITIES, LLC
CRD#: 31295 / SEC#: , 8-40963
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLIN GROUP LLC | OWNER OF CARLIN EQUITIES LLC | |
| BERNSTEIN, SAMUEL H | CHIEF STRATEGIC OFFICER | 2183676 |
| FEIG, ROBERT | VICE PRESIDENT, SALES | 871895 |
| FROMMER, JEREMY PHILLIP | PRESIDENT | 2099159 |
| FROMMER, JEREMY PHILLIP | CHIEF EXECUTIVE OFFICER | 2099159 |
| PORTNOI, ALAN SCOTT | MANAGING DIRECTOR, INSTITUTIONAL SALES | 1537825 |
| SHAH, UPENDRA KANTILAL | CHIEF INFORMATION OFFICER | |
| SHEAR, RONALD HENRY | CHAIRMAN | 420846 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Red Flags
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