Darin C. Haines
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.
Darin Christopher Haines, who also goes by Darin Haines, was a registered financial professional .
Darin is a previously registered financial professional and started their career in finance in 1995. Darin had worked at 12 firms and has passed the Series 63, Series 55, Series 7, Series 23, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2013 - June 12, 2013
CAPE SECURITIES INC.
January 27, 2011 - February 4, 2013
CAPE SECURITIES INC.
August 27, 2009 - February 18, 2011
FIRST MIDWEST SECURITIES, INC.
May 22, 2006 - September 1, 2009
PRESTIGE FINANCIAL CENTER, INC.
July 13, 2005 - June 1, 2006
SLOAN SECURITIES CORP.
June 23, 2004 - July 6, 2005
AURA FINANCIAL SERVICES, INC.
May 24, 2004 - June 24, 2004
FIRST MONTAUK SECURITIES CORP.
February 22, 1999 - May 19, 2004
W.A. CAPITAL MARKETS
February 17, 1998 - December 2, 1998
LCP CAPITAL CORP.
September 26, 1997 - December 15, 1997
ROYAL HUTTON SECURITIES CORP.
June 25, 1997 - September 26, 1997
TASIN & COMPANY, INC.
April 18, 1997 - June 6, 1997
H.J. MEYERS & CO., INC.
October 2, 1995 - April 18, 1997
INVESTORS ASSOCIATES, 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: 7/11/2001
Limited Representative-Equity Trader ExamCurrent Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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