Donald C. Sarin
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.
Donald Charles Sarin, who also goes by Don Sarin, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1964. Donald had worked at 7 firms and has passed the Series 63, Series 3, Series 1, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 1999 - June 28, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 17, 1993 - January 1, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - October 14, 1993
CITIGROUP GLOBAL MARKETS INC.
April 1, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
September 21, 1990 - May 7, 1991
ROYALTY SECURITIES CORPORATION
August 5, 1985 - January 27, 1987
UBS FINANCIAL SERVICES INC.
March 25, 1964 - August 12, 1985
E. F. HUTTON & COMPANY 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 1
Date: 8/31/1959
Registered Representative ExaminationSeries 8
Date: 3/25/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 4/30/1973
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
