Darin Fried
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 Fried was a registered financial professional .
Darin is a previously registered financial professional and started their career in finance in 2000. Darin had worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2016 - September 19, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
October 14, 2014 - February 3, 2016
MORGAN STANLEY DISTRIBUTION, INC.
July 9, 2013 - October 2, 2014
BARCLAYS CAPITAL INC.
June 13, 2007 - July 9, 2013
PARK AVENUE SECURITIES LLC
March 30, 2006 - October 13, 2006
E*TRADE SECURITIES LLC
October 20, 2000 - March 29, 2006
TD AMERITRADE, INC.
March 29, 2000 - October 3, 2000
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
FIRST REPUBLIC SECURITIES COMPANY, LLC
CRD#: 105108 / SEC#: 801-71759, 8-52973
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JP MORGAN CHASE BANK, NATIONAL ASSOCIATION | STOCKHOLDER | |
| BURGE, ANDREW C | DIRECTOR | 5619554 |
| GENTIN, NICOLAS ROBIN | DIRECTOR | 2723366 |
| HERRON, MICHAEL ROBERT | OFFICER | 2692410 |
| HONG, AMY | DIRECTOR | 4259934 |
| LEE, HYUNJOO | FINOP | 7074361 |
| MARTINEZ, MARK CAESAR | REGISTERED OPTIONS PRINCIPAL (ROP) | 2870632 |
| TATEOSIAN, DAVID CHARLES | PRESIDENT AND DIRECTOR | 1605404 |
| THORNTON, ROBERT LEE JR | DIRECTOR | 1412949 |
| WEITGENANT, DAVID ANDREW | CHIEF COMPLIANCE OFFICER | MSRB PRINCIPAL | 2096196 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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