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DM

Darrin M. Marion

Some features on this profile are disabled
CRD#: 3262749
DM

Professional summary

Darrin Michael Marion was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Darrin is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Darrin had worked at 12 firms, which includes BROKER DEALER FINANCIAL SERVICES CORP., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CHARLES SCHWAB & CO. INC., WELLS FARGO CLEARING SERVICES LLC, FIRST BROKERAGE AMERICA L.L.C., BANC OF AMERICA INVESTMENT SERVICES INC., E*TRADE ADVISORY SERVICES INC., E*TRADE SECURITIES LLC, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY, MML INVESTORS SERVICES LLC, STIFEL INDEPENDENT ADVISORS LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 16, 2007 - May 23, 2007

BROKER DEALER FINANCIAL SERVICES CORP.

BD
CRD#: 8073
INDIANAPOLIS, IN
Past

July 6, 2006 - May 31, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
INDIANAPOLIS, IN
Past

July 6, 2006 - May 31, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
INDIANAPOLIS, IN
Past

January 24, 2006 - June 26, 2006

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
FISHERS, IN
Past

January 6, 2006 - June 26, 2006

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
FISHERS, IN
Past

November 29, 2004 - October 11, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ADDISON, TX
Past

November 29, 2004 - October 11, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

May 13, 2004 - August 23, 2004

FIRST BROKERAGE AMERICA, L.L.C.

BD
CRD#: 43431
CLAYTON, MO
Past

December 12, 2003 - March 30, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
ADDISON, TX
Past

December 12, 2003 - March 30, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

February 24, 2003 - June 11, 2003

E*TRADE ADVISORY SERVICES, INC.

RIA
CRD#: 111178
ARLINGTON, TX
Past

February 24, 2003 - June 11, 2003

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ
Past

December 10, 2002 - February 21, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
HURST, TX
Past

November 25, 2002 - February 21, 2003

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

November 25, 2002 - February 21, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

October 8, 2002 - October 29, 2002

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ
Past

March 11, 2002 - August 19, 2002

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

May 17, 2001 - July 10, 2001

STIFEL INDEPENDENT ADVISORS, LLC

BD
CRD#: 28218
ST. LOUIS, MO
Past

December 7, 1999 - March 9, 2001

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/9/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/15/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/1/1999
General Securities Representative Examination

Current Firm

BD
BROKER DEALER FINANCIAL SERVICES CORP.
BANKERS FINANCIAL SERVICES CORP. | INVESTCENTRAL | D. K. THIELEKE SECURITIES, INC. | BROKER DEALER FINANCIAL SERVICES CORP. | BROKER DEALER FINANCIAL & INSURANCE SERVICES CORP. | BDF INVESTMENTS AND IBA SECURITIES

CRD#: 8073 / SEC#: , 8-24220

BD
Terminated by SEC on 02/07/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 09/14/1979
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BDFSC HOLDINGS CORP.OWNER
SHERWOOD, ROBERT DONALDCFO/TREASURER6699856
SHERZAN, MICHAEL THOMASCHAIRMAN / CHIEF COMPLIANCE OFFICER860793

Disclosures

Regulatory Event4
Arbitration2

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.

Company Information

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

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