Darin Christopher Haines
Professional Summary
Darin Christopher Haines, who also goes by Darin Haines, was a registered financial advisor. Darin was a previously registered financial professional and started their career in finance 1995 - 2013. Darin had worked at 12 firms and has passed the Series 63, Series 55, Series 7, Series 23, Series 9 and Series 10 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Darin Haines
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
CAPE SECURITIES INC.
Contact Information
Established
North Carolina since 02/23/1976Firm Type
CorporationFiscal Year End
SeptemberFirm Size
SmallDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
4Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jul 2001Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2001About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2001About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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