SV
Sarky J. Varadian
BROWN, LISLE/CUMMINGS
Providence, RI 02903
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CRD#: 4392599
SV
Professional summary
Sarky Jay Varadian, who also goes by Sarkis Varadian, is a registered financial professional currently at BROWN, LISLE/CUMMINGS, INC. located in Providence, Rhode Island.
Sarky is registered as a RR (Registered Representative) and started their career in finance in 2011. Sarky has worked at 1 firm and has passed the Series 11 exam.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sarkis Varadian
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.
CRS (Client Relationship Summary) - BD
Click below to view Sarky Jay Varadian's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 22, 2011 - Present
BROWN, LISLE/CUMMINGS, INC.
Office #1: One Turks Head Place - Suite 800, Providence, RI 02903Office #2: One Turks Head Place - Suite 800, Providence, RI 02903-2273RIA
BD
CRD#: 1331
Providence, RI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BROWN, LISLE/CUMMINGS, INC.
BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC
CRD#: 1331 / SEC#: 801-121156, 8-12716
RIA
Registered Investment Advisory firm - SEC (5/6/2021 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/11/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (2/11/2010 Terminated)Washington
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
General Industry/Product Exam
RR
Series 11
Date: 2/14/2011
Assistant Representative-Order Processing Qualification ExamSRO Registrations
RR
FINRA
Current Firm
BROWN, LISLE/CUMMINGS, INC.
BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC
CRD#: 1331 / SEC#: 801-121156, 8-12716
RIA
Registered Investment Advisory firm - SEC (5/6/2021 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/11/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (2/11/2010 Terminated)Washington
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Turks Head Place - Suite 800 Suite 800, Providence, RI 02903
Mailing Address
One Turks Head Place - Suite 800, Providence, RI 02903-2273
Phone number
(401) 421-8900
Established
Rhode Island since 12/13/1965
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
12
SEC notice filing (13 States and Territories)
FINRA licenses (35 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IZZI, DAVID ANTHONY | PRESIDENT; SECRETARY; TREASURER; CHIEF COMPLIANCE OFFICER | 2027961 |
| LISLE, SCOTT SAWYER | VICE PRESIDENT | 2220388 |
| MARGINSON, JOHN ARTHUR | VICE PRESIDENT | 860727 |
| MCGINN, JOSEPH HUGH JR | VICE PRESIDENT | 2354164 |
| MURPHY, LOUIS GEORGE JR | VICE PRESIDENT | 1162141 |
| TRACY, CLIFFORD BURRELL JR | VICE PRESIDENT | 1213468 |
Regulatory assets under management
| Total Number of Accounts | 445 |
| AUM (Assets Under Management) | $ 414,675,665 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BROWN, LISLE/CUMMINGS, INC.
CRD#: 1331Providence, RI 02903TRUST BUT VERIFY
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