Darcus E. Breneman
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.
Darcus Ellen Breneman, who also goes by Darcus Cook, was a registered financial professional .
Darcus is a previously registered financial professional and started their career in finance in 1997. Darcus had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
January 25, 2018 - October 9, 2024
OSAIC INSTITUTIONS, INC.
January 25, 2018 - October 9, 2024
OSAIC INSTITUTIONS, INC.
August 4, 2016 - November 27, 2017
INVEST FINANCIAL CORPORATION
August 4, 2016 - November 27, 2017
INVEST FINANCIAL CORPORATION
March 22, 2006 - July 1, 2016
BB&T INVESTMENT SERVICES, INC.
February 21, 2006 - July 1, 2016
BB&T INVESTMENT SERVICES, INC.
February 7, 2005 - February 22, 2006
BB&T ASSET MANAGEMENT, INC.
December 2, 2003 - December 31, 2004
BB&T INVESTMENT SERVICES, INC.
June 3, 2003 - November 7, 2003
UVEST FINANCIAL SERVICES GROUP, INC.
April 19, 2002 - May 12, 2003
BB&T INVESTMENT SERVICES, INC.
February 14, 1998 - May 10, 2000
OSAIC WEALTH, INC.
February 26, 1997 - February 4, 1998
METLIFE INVESTORS DISTRIBUTION COMPANY
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
